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UNIVERSITY OF MASSACHUSETTS 
COMMITTEE/BOARD MINUTES 1996 

ACADEMIC AND STUDENT AFFAIRS 

1 . February 6, 1 996 UMASS Boston 

2. April 2, 1 996 1 8 Tremont St, Boston, MA 

3. May 29, 1 996 1 8 Tremont St, Boston, MA 

4. July 3 1 , 1 996 1 8 Tremont St, Boston, MA 

5 . October 7, 1 996 1 8 Tremont St, Boston, MA 

6. November 20, 1 996 1 8 Tremont St, Boston, MA 

ADMINISTRATION & FINANCE 

1 . February 6, 1 996 UMASS Boston 

2. April 3, 1 996 1 8 Tremont St, Boston, MA 

3 . May 29,1996 18 Tremont St, Boston, MA 

4. August 5, 1996 18 Tremont St, Boston, MA 

5 . October 3,199618 Tremont St, Boston, MA 

6. November 21,199618 Tremont St, Boston, MA 

DEVELOPMENT 

1 . June 3,199618 Tremont St, Boston, MA 

2. August 7, 1996 Sheraton Inn, Lowell, MA 

3 . September 12,199618 Tremont St, Boston, MA 

ATHLETICS COMMITTEE 

1 . April 3 , 1 996 1 8 Tremont St, Boston, MA 

2. November 21,199618 Tremont St, Boston, MA 

AUDIT COMMITTEE 

1 . January 10,199618 Tremont St, Boston, MA 

2. March 21,1996 UMASS Worcester 

3. July 10, 1996 18 Tremont St, Boston, MA 

4. September 10, 1996 UMASS Worcester 

5 . November 2 1 , 1 996 1 8 Tremont St, Boston, MA 

INVESTMENT SUBCOMMITTEE 

1 . May 14, 1 996 1 8 Tremont St, Boston, MA 

2. September 12, 1996 18 Tremont St, Boston, MA 

NOMINATING COMMITTEE 

1 . June 20, 1 996 Boston Marriott Hotel, Newton, MA 

2. July 22, 1996 Boston Marriott Hotel, Newton, MA 

COMMITTEE OF THE WHOLE 

1 . February 6, 1 996 UMASS Boston 

2. December 3, 1996 UMASS Worcester 



BOARD OF TRUSTEES 

1 . February 7, 1 996 UMASS Boston 

2. April 1 1 , 1 996 UMASS Dartmouth 

3. April 30, 1996 Union Club, Boston, MA 

4. June 5, 1996 Parker House Hotel, Boston, MA 

5. August 7, 1 996 UMASS Lowell 

6. October 9, 1 996 UMASS Amherst 

7. December 3, 1996 Beechwood Inn, Worcester, MA 

8. December 4, UMASS Worcester 



UNIVERSITY OF MASSACHUSETTS 

COMMITTEE/BOARD MEETINGS 

1996 MINUTES 



COMMITTEE ON ACADEMIC & STUDENT AFFAIRS 



COMMITTEE ON ADMINISTRATION & FINANCE 



DEVELOPMENT COMMITTEE 



ATHLETIC COMMITTEE 



Audit committee 



INVESTMENT SUBCOMMITTEE 



COMMITTEE OF THE WHOLE 



BOARD OF TRUSTEES 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • B OSTON •DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, February 6, 1996; 12:30 p.m. 

Chancellor's Conference Room 

Quinn Administration Building 

University of Massachusetts Boston 

Boston, Massachusetts 

Committee and Committee Staff : Chair McNeil; Trustees Kraft, Lewenberg, Morrissey, Okray, Poduska 
(arrived late), Sweeney and Taylor (arrived late); Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustee Naughton 

Other Trustees : Trustees Andriolo, Giblin, Hoff, Karam and Rivera 

University Administration : President Bulger; General Counsel Kirby; Vice President/Secretary Boyd; 
Interim Vice President Deck; Vice President Chmura; Associate Vice President Layton; Chancellors 
Cressy, Hogan, Lazare, Penney and Scott; Provosts Crosson, Esposito and Taggie 

Faculty Representative : Professors Carroll, Knight, May, Phelan and Dr. Cooke 

Chair McNeil convened the meeting at 12:45 p.m. and began by welcoming President Bulger. 
President Bulger then thanked the Board members for their support and their welcome. He also thanked 
faculty members and others across the University with whom he had met in the early part of his 
Presidency. The President then reviewed the agenda with the Committee. 

The first item on the agenda for action was the Appointment With Tenure, UMASS Amherst . 
Trustee McNeil then asked for a vote to enter into executive session to consider this appointment. 
Trustees Kraft, Lewenberg, and Okray voted for the motion, as did Chair McNeil. The Committee would 
reconvene in open session after this item. 

At 12:55 p.m., the Committee reconvened in open session. 

The next discussion item on the agenda was the Academic Program Review . Vice President Deck 
reminded the Committee that the Board had voted at its last meeting that the President would oversee the 
Academic Program Review with the Chancellors, and report back to the Committee at this meeting. The 
Chancellors had prepared information including numbers of graduate and undergraduate programs that 
would be affected by reductions, eliminations, reconfigurations or enhancements; total dollars to be 
reallocated from the FY96 budget; and an update on the timing for these activities. Provost Crosson and 
Chancellor Scott then described the process that they had engaged in that brought the particular 
recommendations forward, including input from the Faculty Senate, and also discussed the importance of 
converging these recommendations and plans with the campus's strategic plan allowing for a total 
reallocation of resources. Provost Esposito then gave a summary of the process on the Boston campus, 
including the involvement of the faculty and student senates and the appeals process. He noted that 
proposed reductions in undergraduate programs partially reflect the declines in enrollment. 

Chancellor Cressy then reviewed the process of this review at the Dartmouth campus and also 
pointed out particular aspects of the review that are taken with consideration of faculty contracts. Their 
focus in terms of changes and adjustments has been greatly on the institution's mission of teaching and 



learning. Provost Taggie emphasized the importance of current and planned collaborative efforts with f 

the other campuses which allow for reallocation in various areas without diminishing the options for 
students. Chancellor Hogan then reviewed the process for the Lowell campus which began with the Bok 
Study and the campus' strategic imperatives, and he also identified estimates of reallocated dollars based 
on the recommendations. Chancellor Hogan said that he is working with the faculty to discuss the 
recommendations, and will continue to work through the administrative redesign process for continued 
streamlining. 

Discussion regarding these issues, including shared governance, took place, and the Committee 
encouraged the campus leadership to continue to follow this inclusive process, allowing for input, from 
faculty and students. The Committee thanked the Chancellors and Provosts for their work, and asked 
that they be continuously updated, possibly at each meeting. The Trustees further stressed the 
importance of this process as the means for better managing tight resources while maintaining high 
quality standards at the University. In regard to the timeline, each campus has different implementation 
plans which will be phased in over the summer and fall of this year. 

The next item on the agenda was the Undergraduate Admissions Policy Update . Chair McNeil 
asked Vice President Deck to present information on this item. Vice President Deck then reminded the 
Committee that the Higher Education Coordinating Council (HECC) had adopted new admissions 
standards, and he reviewed the four new categories that had been established and the basic parameters of 
each. He then estimated the impact that these standards would have on the University based on the 
profile of 1995 entering students. Vice President Deck reviewed the last UMASS admissions policy (Doc. 
T83-113), and described the importance of having an admissions policy that establishes both the criteria 
involved in admissions and the characteristics of the student body that the institution is committed to 
admitting. 

The Committee then reviewed the draft principles to be used in developing the policy that will come 
forward to the Committee and Board in April, 1996. Some discussion regarding the authority of the 
HECC over the University's admissions standards was held, and General Counsel Kirby briefly identified 
the areas where HECC has authority: approval of degree programs; disapproval of tuition; and 
disapproval of admissions. The impact of HECC admissions standards on minority students was 
identified as an area of concern for the Committee, as was the need for measurements of academic success 
beyond SAT and GPA. 

The next item on the agenda was the Alumni/ae Survey Presentation . Vice President Deck then 
introduced Associate Vice President for Academic Affairs, Daphne Layton, to make a presentation of the 
results of the first four-campus undergraduate alumni/ae survey. Associate Vice President Layton 
provided background on the survey, saying that the survey was conducted using the graduates of 1993 
which includes those students who were hit hardest by budget cuts and tuition increases. Associate Vice 
President Layton reported that the number of respondents was very high for this type of survey, and 
went on to review some of the highlights of the results, pointing out that there is a great deal of 
information that she was not presenting. She concluded her presentation by thanking the members of the 
UMASS Institutional Research Group: Marilyn Blaustein and Bryan Harvey, UMASS Amherst; Jennifer 
Wilton, UMASS Boston; Dick Panofsky and Areta Masi, UMASS Dartmouth; Millicent Kalaf, UMASS 
Lowell, and also thanked Gary Hammon of University Information Systems. 

Each Chancellor then presented some more detailed information from survey results for his or her 
campus. The Chancellors commented on changes that they will encourage as a result of the survey 
responses, using the survey results as a management tool. 



Vice President Deck then introduced Vice President Chmura to describe the Second Technical 
Conference on Telecommunications Research and Development which will be held at UMASS Lowell on 
Tuesday, March 12. Governor Weld is expected to give the Keynote Address. 



I 



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There being no further business to come before the Committee, the meeting adjourned at 2:50 p.m. 




Elizabeth H. TuthilrFarrell 
Assistant Vice President for 
Board Relations 



o 






r 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, April 2, 1996; 1:00 p.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Trustee Poduska, Acting Chair; Trustees Kraft, Lewenberg, Morrissey, 
Naughton, Okray, and Taylor (arrived late); Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustees McNeil and Sweeney 

Other Trustees : Trustees Karam and Rivera 

University Administration : President Bulger; General Counsel and Vice President Kirby; Interim Vice 
President Deck; Vice President Chmura; Associate Vice President Layton; Chancellor Scott; Provosts 
Crosson, Esposito, Taggie and Tripathy; Mr. Edward Bresnick, Vice Chancellor for Research (representing 
Chancellor Lazare) 

Faculty Representative : Professors Knight, May and Phelan 

Trustee Poduska convened the meeting at 1:10 p.m. in the absence of Trustee McNeil and reviewed 
the agenda. President Bulger commented on the extensive support he has received from the University 
community during his first months. 

Chair Poduska then turned to Vice President Deck to introduce the first policy item on the agenda, 
Policy on Undergraduate Admissions, and provided background information regarding the 
development of the proposed policy. Vice President Deck then presented highlights of the policy, 
particularly in regard to the standards also proposed by the Higher Education Coordinating Council. 
Vice President Deck noted that the University had been discussing these standards for quite some time 
and actively worked to produce a policy that would be consistent with the University's objectives on 
access and quality, while also satisfying the standards proposed by the HECC. He said that the 
University will continue to measure student achievement, and will review and amend this policy as 
necessary based on future information for any changes which result from future information and can 
improve the policy. 

It was then moved and seconded to recommend that the Board take the following action: 

To adopt the Policy on Undergraduate Admissions as contained in Doc. T96-034. This 
policy shall replace Doc. T83-113. 

Discussion regarding the motion followed, including: concerns that this policy may lead the 
University to be too focused on entrance indicators in admissions; impact on learning disabled students; 
importance of K-12 education reform in increasing quality in higher education; the consideration in the 
policy for various achievement measurements other than GPA and SAT that the University will continue 
to use in admissions; and concern regarding the impact of the HECC categories regardless of the 
University's policy. The President spoke to several of these issues, in particular regarding the HECC, and 
stated his confidence that this policy will bring the University in the direction that the Trustees have 
emphasized. The President also reiterated the importance of continuous review of this policy. Dan 



Georgianna, faculty member from UMASS Dartmouth, spoke to the concern of the faculty regarding the 
policy's potential impact on access and diversity. Further discussion regarding the importance of this 
policy for the University was held. 

The motion was then called and ADOPTED . 

The next item on the agenda was a Trustee-requested item, Meetings of Governing Bodies . Chair 
Poduska turned to Trustee Okray to provide background information, who also amended his motion. 
Trustee Okray then moved adoption. It was not seconded. 

The next item on the agenda was the Constitution for the Graduate Student Assembly, UMASS 
Boston . Provost Esposito provided background regarding this vote wherein the GSA will have a formal 
governance document approved by the Board. 

It was then moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the Constitution for the Graduate Student Assembly of the University of 
Massachusetts at Boston as contained in Trustee Doc. T96-051, provided, however, that 
this approval shall remain in effect only until October 15, 1997, at which time the 
Constitution shall be considered null and void unless the Board has prior to that date 
acted affirmatively to continue the Constitution in effect. The President and Chancellor 
shall review the operations of the Graduate Student Assembly and shall, on or before 
October 15, 1997, make a recommendation to the Board concerning continuation of the 
Assembly and its Constitution. 

The next action item on the agenda was the Appointment as Distinguished Professor, UMASS 
Amherst . Chancellor Scott reviewed the profile of Professor MacKnight, noting his extensive 
publications in the high ranking polymer science and engineering publications and other highlights of his 
record, including grants received, his record as a mentor and teacher and outside scholarly recognition. 
The Amherst campus has a total of 21 distinguished professors, the last one being named in 1992. 
Committee members commented on future opportunities for fundraising for endowment of such chairs. 

It was moved and seconded. Some informational discussion regarding the title of Distinguished 
Professor was held. It was then 

VOTED: To recommend that the Board take the following action: 

To concur with the President in the appointment of William J. MacKnight as 
Distinguished Professor at UMASS Amherst. 

Trustee Poduska reminded the Committee that the next items on the agenda, Appointment of 
Tenure and Awards of Tenure , would be taken in Executive Session and that the Committee would 
reconvene in open session at the conclusion of these actions. It was moved, seconded and 

VOTED : To enter Executive Session. 

Trustees Kraft, Lewenberg, Naughton and Okray voted for the motion as did Chair Poduska. The time 
was 2:10 p.m. 

The Committee reconvened in open session at 2:50 p.m. 

The next item on the agenda was an informational item, Policy on Conflicts of Interest Relating to 
Intellectual Property and Commercial Ventures, the Intellectual Property Policy, and the Policy on 

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Faculty Consulting and Outside Activities . Chair Poduska commended all those who have been 
involved in developing these policies, particularly General Counsel Kirby and Vice President Chmura. 
General Counsel Kirby informed the Committee that this item would be taken for vote at the 
Administration and Finance Committee, but is also very important to this Committee as it impacts on the 
academic mission of the University. She then reviewed how the previous lack of consistent and up-to- 
date policies impacted on the University. General Counsel Kirby then identified some of the highlights of 
the three policy areas. These policies are proposed for adoption by A&F tomorrow for the Worcester 
campus; the other campuses are negotiating these policies with the unions. The intention is to have the 
conflict of interest policy to be as consistent as possible across the University because it an exemption 
from certain state conflict laws. In response to questions Attorney Kirby noted that the Board could not 
insist that the policy be adopted "as is" because the policies are subject to good faith bargaining. If such 
bargaining results in changes, the President will report back to the Board. 

Vice President Chmura then presented information regarding the organizational structure, notably a 
University Office of Commercial Ventures and Intellectual Property with employees already in 
Worcester; plans for hiring of professional staff at Amherst and Lowell; the setup of a patent fund; and 
specialized in-house legal assistance, all of which allow for the support of faculty who have potentially 
commercializable ideas. He then identified a few examples showing the immediate impact of these new 
activities. Chair Poduska urged the involvement of the business schools in this entrepreneurial field, and 
commended again the Administration for their direction in this area. 

Trustee Okray then asked that the Constitution for the Graduate Student Assembly, UMASS 
Boston be added to the Consent Agenda of the Board of Trustees. 

It was moved, seconded and 

VOTED : To add the previously adopted motion regarding the Constitution for the Graduate 
Student Assembly to the Consent Agenda of the Board of Trustees for consideration on 
April 11, 1996. 

There being no further business to come before the Committee, the meeting adjourned at 3:15 p.m. 



lizabethrf. Tuthilj Farrell 
Assistant Vice President for 
Board Relations 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Wednesday, May 29, 1996; 10:00 a.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair McNeil; Trustees Kraft, Lewenberg, Okray (left early), and 
Poduska; Ms. Farrell, Secretary to the Board 

Committee Members Absent : Trustees Morrissey, Naughton and Sweeney 

Other Trustees: Trustees Andriolo and Karam 

University Administration : President Bulger; General Counsel and Vice President Kirby; Interim 
Vice President Deck; Vice President Chmura; Associate Vice President Layton; Chancellors Scott and 
Hogan; Provosts Crosson, Esposito, Taggie and Tripathy; Ms. Cheryl Scheid (representing Chancellor 
Lazare); Dean Tom Miller; Vice Chancellor Robinson 

Faculty Representatives : Professors Knight, May and Phelan 

Guests : Professor Mark Leckie, UM ASS Amherst 

Chair McNeil convened the meeting at 1:10 p.m. and thanked the members of the Committee and 
the University Community for all the support given to her during difficult times. She then turned to 
President Bulger who reviewed the agenda. 

Chair McNeil then announced the first action item on the agenda, the Ph.D. in Biomedical 
Engineering and Medical Physics (Stage II). UMASS Worcest er. Worcester Polytechnic Institute. 
noting the importance of this type of program in meeting the University's objectives for collaborative 
and interdisciplinary programs. Associate Vice President Layton then offered a detailed description 
of the proposed program, identifying the strong collaboration already in place and pointing out that 
the program does not require new resources. She went on to say that once this Stage II proposal is 
approved by the Board, it would then be considered by the Higher Education Coordinating Council. 
Dr. Tom Miller from UMMC then spoke to the objectives and specific programmatic aspects of this 
degree. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the Stage II proposal for a Joint Ph.D. Program in Biomedical 
Engineering and Medical Physics at the University of Massachusetts Worcester and 
Worcester Polytechnic Institute, as contained in Doc. T95-090, Addendum 1. 

Chair McNeil then turned to Associate Vice President Layton regarding the second action item, 
the B.S. in Earth Systems (Consolidated Stage I and II). UMASS Amherst Associate Vice President 
Layton informed the Committee that the Administration was bringing this combined Stage I and II 
proposal in an effort to streamline the approval process. She went on to say that this program 



Committee on Academic and Student Affairs 
May 29, 1996 



requires no new resources, and is a program that complements other required courses and expands 
educational opportunities for students. Provost Crosson further described the interdisciplinary 
nature of this program, building on and adding to offerings in the specialized areas of geology and 
geography. Provost Crosson also identified several career opportunities for individuals coming out 
of this type of program. She noted that the program has very strong support at all levels at the 
campus and does not duplicate programs at other UMASS, state or community college programs. 
There have also been initial conversations with UMASS Lowell faculty regarding potential 
collaborations through long distance learning. 

Some discussion regarding marketing of this type of program and consideration of enrollments a 
few years after the program is established was held. Professor Mark Leckie commented on the 
components of the program and its interdisciplinary nature. Professor Leckie described the extensive 
outreach programs that the department runs in western Massachusetts, the follow-up interest from 
freshman survey courses that would lead students to this program, and the possibilities for 
professional activities and degrees for graduates of this program. 

It was then moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the Stage I and II consolidated proposal for a B.S. in Earth Systems at the 
University of Massachusetts Amherst, as contained in Doc. T96-071. 

Chair McNeil then turned to Trustee Okray who brought the next item to the Committee, 
Amendment to the Code of Student Conduct, UMASS Boston . Trustee Okray described his 
purposes in bringing this amendment for action, specifically his concern that students receive due 
process in civil cases, as students are allowed to have legal counsel in hearings arising from actions 
that are also the subject of pending criminal charges. Vice President and General Counsel Kirby 
described the review process of the Codes of Student Conduct, and the policy decision to provide 
required due process in these codes while keeping all legal counsel outside of hearings in order to 
determine facts without making the hearings overly litigious; University attorneys do not attend any 
hearings other than those for which criminal charges are also pending where students are represented 
by counsel. Discussion regarding procedures and processes of hearings and appeals, legal 
requirements and delegations was held. It was pointed out that students are allowed the right to 
lawyers, the restriction being the presence of attorneys in disciplinary hearings. Comments from 
faculty and students regarding this issue were made. It was suggested that all of the Codes of 
Student Conduct be reviewed again. 

Chair McNeil then asked for a roll call vote. Trustee Okray made the motion, it was seconded 
and 

VOTED: To recommend that the Board take the following action: 

WHEREAS Senior Administrators are allowed the right to legal counsel during 
questions of misconduct, and 

WHEREAS students should be allowed the right to legal counsel so that their 
Constitutional rights are not compromised, and 

WHEREAS University administrators have the right to consult University legal 
counsel, 



Committee on Academic and Student Affairs 
May 29, 1996 



WHEREAS the University cannot reasonably justify denying students the right to 
legal counsel during a grievance or disciplinary process, 

THEREFORE BE IT RESOLVED that the Code of Student Conduct shall be amended 
under Student Misconduct, Number 6, by replacing: 

"The student accused of misconduct shall have the right to be accompanied at the 
hearing by a member of the University community of his/her choice (except legal 
counsel) to act as an advocate on the student's behalf." 

with the following: 

"The student accused of misconduct shall have the right to be accompanied at the 
hearing by person(s) of his/her choice to act as advocate(s) on the student's behalf." 

Trustees Lewenberg, Okray and Poduska voted for the motion; Trustee Kraft voted against. 

The next item on the agenda was the Awards of Tenure. UMASS Amherst and UMASS Boston. 
and A ppointm ents with Tenure. UMASS Amherst and UMASS Boston. Chair McNeil stated that 
the Committee would then vote to enter into Executive Session for these two agenda items and 
further stated that the Committee would reconvene in open session at the conclusion of these actions. 

It was moved, seconded and 

VOTED : To enter into Executive Session for the purpose of considering Awards of Tenure, 
UMASS Amherst and UMASS Boston and A ppointments with Tenure. UMASS 
Amherst and UMASS Boston. 

Trustees Kraft, Lewenberg, Okray and Poduska voted for the motion as did Chair McNeil. The 
time was 11:05 a.m. 

At 11:15 a.m., the Committee reconvened in open session. The next item on the agenda for 
discussion purposes was the Academic Program Review Update . Provosts Crosson, Esposito, Taggie 
and Chancellor Hogan all provided written information and oral presentations regarding the status 
of the Academic Program Reviews on their campuses. Some of the highlights of these reports are 
noted as follows: at Amherst, the Academic Program Review has been closely tied to the Strategic 
Plan and both reports have had extensive debate on the campus; Provost Crosson also noted that the 
resource implications of the Academic Program Review have been built into the Chancellor's 
expectations for reallocations in academic areas to take place over the next several years. Further, 
Provost Crosson stated that the department profiles will continue to be used as tools for planning and 
resource allocation. Provost Esposito informed the Committee that 16 faculty lines will have been 
reallocated this year, and over the next two years, they plan to reallocate approximately 18 more. 
Provost Taggie noted that the Faculty Federation had approved the relocation of two departments out 
of the College of Arts and Sciences (physics and computer science) to the College of Engineering; this 
move will allow the reallocation of $1.2 million. Provost Taggie also informed the Committee of the 
likely reduction of 20-25 faculty positions after initially freezing of 45 positions. Chancellor Hogan 
reminded the Committee that the campus had planned 9 projects (four from the Bok Study) costing 
approximately $15 million, resulting in cutbacks in both payroll and degree programs. Chancellor 
Hogan thanked Bob Wagner who has lead the Administration in the bargaining very successfully. 
Trustee Karam asked that all campuses consider providing information similar to that provided by 



Committee on Academic and Student Affairs 
May 29, 1996 



the Lowell campus identifying expenses by departments and the number of students in each major, 
allowing for some direct comparison across the campuses while recognizing that there are some areas 
where comparison is not feasible. 

The next item on the agenda was the Enrollment Planning Update . Chancellor Hogan, Provosts 
Taggie, Esposito, Crosson and Vice Chancellor Robinson provided written and oral presentations in 
this area, outlining recent numbers and plans for upcoming student enrollment numbers. Projections 
at UMASS Lowell show that the dormitories will have an approximately 91-92% occupancy rate. 
Both the Lowell and Boston campuses will see a larger increase in the number of graduate students 
versus undergraduates, which will grow slightly, while the Dartmouth campus anticipates a slightly 
smaller freshman class for the fall of 1996 resulting from efforts to increase the SAT's and GPA's of 
entering students. Provost Crosson reminded the Committee of the activities that have been taking 
place on the campus in this area over the past year, and Vice Chancellor Robinson reviewed specific 
enrollment and admissions information. He reported that, in response to the increase level of quality, 
there are fewer students being accepted and attending, and identified a specific recruitment program 
for high-ability students, ALANA students, and in-state high-ability students who are being offered a 
special financial aid package, helping the campus to accomplish its goal of increasing the percentage 
of in-state students. 

The next item on the agenda was the STrategic Envirotechnology Partnership (STEP) Update . 
Vice President Chmura provided background information on this program where four campuses of 
the University helps companies in the Commonwealth develop new environmental technologies 
through research and testing. This program is funded by a special state appropriation made two 
years ago. Each of the four campuses has a particular specialization and is particularly important to 
the overall effort. 

The next item on the agenda was the Department of Defense Financial Management Training 
and Education Center, Southbridg e. Vice President Deck reported that this initiative, funded by the 
Department of Defense is the only training center in the country, and will provide training to all 
D.o.D. personnel, through both on-site and long-distance learning. UMASS is one of five 
subcontractors, the only institution of higher education. 

Vice President Deck went on to announce that Vice Chancellor /Provost Sukant Tripathy will be 
returning to the faculty at UMASS Lowell, and Bob Wagner will be the Interim Provost. He also 
informed the Committee of the President's approval of an extension of sabbatical leave for Dr. 
Michael Chrysler from UMASS Amherst. Lastly, Vice President Deck announced that the Committee 
would hear an update on the Engineering Task Force at the August, 1996 meeting. 

There being no further business to conduct, the Committee adjourned at 12:10 p.m. 





i&eth d^^rell 
Secretary to the Board of Trustees 






UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Wednesday, July 31, 1996; 10:00 a.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair McNeil; Trustees Arciero, Carter, Lewenberg, Naughton, 
Poduska and Taylor 

Committee Members Absent : Trustees Andriolo, Croft, Kraft and Sweeney 

University Administration : President Bulger; Vice President and General Counsel Kirby; Interim 
Vice President Deck; Associate Vice Presidents Layton and Griesemer; Chancellors Scott, Hogan 
and Lazare; Provosts Crosson, Esposito, Taggie and Wagner; 

Faculty Representatives : Professors Knight, Singh and Phelan 

Chair McNeil convened the meeting at 10:10 a.m. and welcomed Trustees Arciero and Carter 
to their first meeting as members of the Committee. 

President Bulger then thanked everyone for their help during the last six months and 
expressed his satisfaction with the progress being made on Beacon Hill. 

Chair McNeil then turned to Vice President Deck to introduce the policy item on the agenda, 
System-Wide Policy on Centers and Institutes . Vice President Deck provided highlights from 
1994 when this Committee had first considered policy recommendations concerning Centers and 
Institutes. He then introduced Associate Vice President Layton to give an overview of the policy 
before the Committee. Ms. Layton reported that the policy is intended to codify the principles 
expressed in the 1994 report. The new policy will require campuses to have policies and 
procedures governing the establishment, review, administration, and termination of Centers and 
Institutes; require that campus policies and procedures be approved by the President; outline 
some common criteria for approval and review of Centers and Institutes, and establish the 
authority of the President to approve the establishment of new centers or institutes upon 
recommendation of the Chancellors. 

There was then discussion surrounding the issues of campus governance and that centers 
should establish guidelines that achieve specific goals with a reasonable time frame and that the 
products of their efforts relate to the mission of the campuses. There was also discussion about the 
distinction between centers and institutes and it was agreed that the policy would be amended to 
include "definition" in the second section. When campus policies governing the centers and 
institutes are approved the President will ensure that there are common definitions for centers and 
institutes across the University. 

It was then moved, seconded and 



Committee on Academic and Student Affairs 
July 31, 1996 

VOTED: To recommend that the Board take the following action: 

To approve the University of Massachusetts Policy on Centers and Institutes as 
contained in Doc. T96-096, as amended. 

Chair McNeil then asked that the Engineering Study Update come up next on the agenda so 
that tenure cases can be discussed at the end of the meeting. Vice President Deck reported that in 
1994 a report on Engineering had been presented and approved, including the establishment of an 
Engineering Task Force. It had also been requested that the Board be updated regularly thereafter. 
He then introduced Associate Vice President Griesemer who first thanked the Deans of 
Engineering and the Provosts and the Vice Presidents for Academic Affairs for their on-going 
attention to this issue and proceeded to give a presentation on the Future of Engineering. She 
listed the goals first provided in 1994: provide first-class engineering education that supports 
people's ability to perform jobs over their lifetime, to enhance econbmic development through 
direct support of industrial activity and conduct leading edge research in selected areas to 
establish and/or maintain a topnotch status for the University. There had been thirteen 
recommendations in the report that were grouped into four areas: 1) cross-cutting issues, 2) 
teaching and learning, 3) diversity and pluralism and 4) economic development. There has been 
increased quality undergraduate education as well as the quality of students, increased diversity 
and access; outstanding research enterprise and a focus on economic development. 

She further noted that there has been significant progress made towards realignment and 
reallocation, for instance at UMASS Amherst two departments were merged into a Mechanical 
and Industrial Engineering department, UMASS Boston has increased the number of engineering 
courses particularly at the junior and senior level, UMASS Dartmouth has used faculty lines from 
engineering technology to support the Ph.D. program in electrical engineering, UMASS Lowell 
has phased out the B.S. program in Nuclear Engineering and the M.S. in Plastics and UMASS 
Worcester has created a new biomedical engineering doctoral program with Worcester 
Polytechnic Institute. 

It was suggested that Committee members refer to the Executive Summary Report, "Progress 
on the Future of Engineering" distributed at this meeting for more examples of accomplishments 
implementing the Future of Engineering Study. The Committee commended the staff for their 
progress accomplishing these goals. 

The next item on the agenda for action was the Distinguished University Professorship, 
UMASS Amherst . Vice President Deck then asked Chancellor Scott and Provost Crosson to speak 
of the accomplishments of Professor Mcintosh. It was reported that Professor Mcintosh is a 
productive scientist who is recognized internationally for his ability to conceive, fabricate and 
operate sophisticated microwave instruments. Professor Mcintosh is highly commended as 
demanding and effective teacher with outstanding service contributions. 

Trustee Lewenberg requested that the Board have an opportunity to hear Professor Mcintosh 
speak and that this would be a good opportunity to make this award a public event thus 
enhancing the reputation of the University. Chancellor Scott reported that President Bulger will 
soon be visiting the Microwave Remote Sensing Laboratory and that this could be a good time for 
the Trustees to meet with the Professor as well as tour the facility. 

Trustee Poduska also suggested that future awards of distinction include a request that the 
person prepare a lecture as part of the acceptance of such an award which would enhance the 
honor. 

It was then moved, seconded and ' • 

-2- 



Committee on Academic and Student Affairs 
July 31, 1996 

VOTED: To recommend that the Board take the following action: 

To concur with the President in the appointment of Robert E. Mcintosh as 
Distinguished Professor at UMASS Amherst. 

The next item on the agenda was the Awards of Tenure, UMASS Amherst. UMASS Boston. 
UMASS Dartmouth and UMASS Lowell and Appointments with Tenure. UMASS Amherst, 
UMASS Lowell and UMASS Worcester . Chair McNeil stated that the Committee would then 
vote to enter into Executive Session for these two agenda items and further stated that the 
Committee would not reconvene in open session at the conclusion of these actions. 

Trustees Arciero, Lewenberg, McNeil, Poduska and Taylor voted for the motion. The time 
was 11:10 a.m. 

It was moved, seconded and 

VOTED : To enter into Executive Session for the purpose of considering Awards of Tenure, 
UMASS Amherst, UMASS Boston, UMASS Dartmouth and UMASS Lowell and 
Appointments with Tenure, UMASS Amherst, UMASS Lowell and UMASS 
Worcester. 



UcJUa^ OA^lT 



Barbara DeVico 
Staff Assistant 



L 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON 'DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Monday, October 7, 1996; 2:00 p.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff ; Chair McNeil; Vice Chair Poduska; Trustees Andriolo, 
Arciero, Bissonnette, Carter, Giblin, Karam, Kraft and Sweeney 

Other Trustees : Trustee Croft 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice 
President Botman; Associate Vice President Layton; Provosts Crosson, Esposito, Taggie and 
Wagner; Associate Chancellor Scheid 

Faculty Representatives : Professors Knight, Singh and Phelan 

Chair McNeil convened the meeting at 2:05 p.m. and welcomed Vice President Botman and 
newly elected Trustee Bissonnette to their first meeting of the Committee. 

President Bulger then welcomed Vice President Botman who thanked the Committee and 
said that she looked forward to working with the President, the Board, faculty, students and 
administrators in an effort to ensure that the University achieves academic excellence. 

President Bulger then announced that he would soon begin visiting high schools across the 
state to meet with students, guidance counselors and teachers to highlight the University's 
programs and scholarship opportunities to encourage students to apply to the University. Also 
in the works is a system- wide brochure to be distributed at high schools. He also reported that he 
has been in discussion with Boston Higher Education Chairman Carlin about offering merit 
scholarships to two top-ranking students in every high school class in the Commonwealth. 

President Bulger also highlighted points of a letter from Charles Baker, Secretary of 
Administration and Finance regarding the commitment of the state's portion of the five year 
capital plan for the University. He then commended Vice President Lenhardt for his work on this 
issue. 

Chair McNeil then applauded the efforts the University is making attracting students but 
added that we must also look at bright and highly motivated students who are sometimes 
overlooked because of a lack of a high grade point average. 

Chair McNeil then announced that "Campaign UMASS" for the Amherst campus will kick-off 
on Thursday, October 17 in the Mullins Center. The events will run through October 18 and the 
19th. Trustee Carter then reported that the Amherst campus has a four-month lecture series on 
campus commemorating the 50th anniversary of Jackie Robinson breaking the color barrier in 
major league baseball. He then announced that as part of this series, Branch Rickey 3rd, 
grandson of Branch Rickey who signed Jackie Robinson would speak on Wednesday, October 9, 
at Herter Hall. All are invited. 



Committee on Academic and Student Affairs 
October 7, 1996 

The first item on the agenda was Amendments to the Policy on Centers and Institutes . 
Chair McNeil explained that at the last meeting when this policy had first been approved, the # 

Committee has requested that the policy be amended to incorporate language distinguishing 
institutes and centers from each other. Associate Vice President Layton then spoke of the added 
language to the policy. There was a discussion about the meaning of departmental structure. It 
was then agreed that the policy would be amended further to include the word "ordinarily" in the 
definition of Center or Institute in the first paragraph. 

It was then moved, seconded and 

VOTED: To recommend that the Board take the following action: 

To approve the amendments to the University of Massachusetts Policy on 
Centers and Institutes as contained in Doc. T96-096, as amended. 

The next item on the agenda was Amendments to the Student Disciplinary Codes . Chair 
McNeil provided some background information on this item: at the May meeting of this 
Committee former student Trustee John Okray initiated a motion to change the Code of Student 
Conduct to allow a student to be accompanied by an advocate of his or her choice at a 
disciplinary hearing. There had been a great deal of discussion on this item and it was 
recommended that the issue be considered for each campus. The motion was adopted on a three 
to one vote. At the full meeting of the Board in June, the President asked that the motion not be 
adopted until the Chancellors had a chance to discuss this issue with their Vice Chancellors and 
make a recommendation. Trustee Okray tabled the motion until the October meeting. Since that 
time an Ad Hoc Chancellor's Advisory Group on Codes of Student Conduct was formed and has 
met to discuss the role of attorneys in student conduct disciplinary proceedings. 

Vice President Botman then reported on the recommendations of the Ad Hoc Committee to * 

the Chancellors and President. This Committee is now offering a new motion which would 
supersede John Okray's motion. The motion before the Committee would prohibit attorneys 
from serving as advisors or otherwise accompanying students at disciplinary proceedings but 
permit students who are recommended at the first level for expulsion or suspension over ten 
days to have attorneys submit a statement to the appellate decision maker before a final decision 
is made. 

Mr. John Okray now Student Senate President asked to speak and read his original motion 
from May: 

WHEREAS Senior Administrators are allowed the right to legal counsel during 
questions of misconduct, and 

WHEREAS students should be allowed the right to legal counsel so that their - 
Constitutional rights are not compromised, and 

WHEREAS University administrators have the right to consult University legal 
counsel, 

WHEREAS the University can reasonably justify denying students the right to 
legal counsel during a grievance or disciplinary process, 

THEREFORE be it resolved that the Code of Student Conduct shall be amended 
under Student Misconduct, Number 6, by replacing: 



-2- 



Committee on Academic and Student Affairs 
October 7, 1996 

The student accused of misconduct shall have the right to be accompanied at the 
hearing by a member of the University community of his/her choice (except legal 
counsel) to act as an advocate on the student's behalf. 

with the following: 

The student accused of misconduct shall have the right to be accompanied at the 
hearing by person(s) of his/her choice to act as advocates(s) on the student's 
behalf. 

Mr. Okray then spoke of an updated motion to be offered by Trustee Croft which would 
allow any undergraduate or graduate student who has been found guilty at a disciplinary 
hearing and who could be subject to expulsion or suspension from the University to have the 
right, at the student's expense, to have an attorney present, said attorney shall be prohibited from 
directly participating in the hearing, addressing the hearing officer and/or committee, and shall 
be permitted to confer only with the accused student. Further, said attorney shall be permitted to 
submit a written statement drafted by an attorney that will be considered by the final appellate 
entity before a final decision is issued. 

Mr. Okray continued to report that the updated motion was a major concession from the 
original motion and that the motion being offered by the Administration was more restrictive. 
Trustee Croft then spoke in favor of the motion he has offered which is an amended version of 
the motion contained in the package and asked that it be put on the table. Chair McNeil then 
moved the following motion recommended by the President: 

MOVED: To recommend that the Board take the following action: 

To authorize the President to approve amendments to the student disciplinary 
codes for each campus to reflect the recommendations contained in the Report of 
the Ad Hoc Chancellors' Advisory Group on Codes of Student Conduct, 
including: 

1. Every undergraduate or graduate student subject to disciplinary procedures for 
violations of conduct regulations shall be allowed to be accompanied by an 
advisor during a hearing or an appeal. The nature and extent of the advisor's 
participation shall be determined by campus procedures. The advisor must be 
selected from the campus community, and may include another student or a full- 
time employee of the campus. Attorneys shall be prohibited from serving as 
advisors or otherwise accompanying the student, with the exceptions noted 
below. 

2. Any undergraduate or graduate student subject to disciplinary proceedings who 
faces pending criminal charges arising from the same facts shall be permitted to 
select as his advisor an attorney, without regard to whether the attorney is a 
member of the campus community. This right to have an attorney present (at the 
student's expense) will also apply when in the judgment of the hearing officer or 
panel it appears likely that such charges will be filed. Any student who elects to 
be accompanied by an attorney should be required to give advance notice to the 
hearing entity. 

3. Any undergraduate or graduate student who has been found guilty at a 
disciplinary hearing and who has been given a penalty of expulsion or 
suspension from the University for more than ten days should have the right, at 






Committee on Academic and Student Affairs 
October 7, 1996 

the student's expense, to submit a written statement drafted by an attorney that 

will be considered by the final appellate entity before a final decision is issued. t 

4. If students are represented by counsel under \ 2 or 1 3, counsel may not be an 
employee of the student legal services offices supported by University funds. 
(Doc.T96-113) 

The motion was then seconded. Chair McNeil then moved Trustee Croft's amendments to the 
motion: 

MOVED : To recommend that the Board take the following action: 

To authorize the President to approve amendments to the student disciplinary 
codes for each campus to reflect the recommendations contained in the Report of 
the Ad Hoc Chancellors' Advisory Group on Codes of Student Conduct, 
including: 

Every undergraduate or graduate student subject to disciplinary procedures for 
violations of conduct regulations shall be allowed to be accompanied by an 
advisor during a hearing or an appeal. The nature and extent of the advisor's 
participation shall be determined by campus procedures. The advisor must be 
selected from the campus community , and may include another student or a full- 
time employee of the campus. Attorneys shall be prohibited from serving as 
advisors or otherwise accompanying the student, with the exceptions noted 
below. 

Any undergraduate or graduate student subject to disciplinary proceedings who 
faces pending criminal charges arising from the same facts shall be permitted to 
select as his advisor an attorney, without regard to whether the attorney is a 
member of the campus community. This right to have an attorney present (at the 
student's expense) will also apply when in the judgment of the hearing officer or 
panel it appears likely that such charges will be filed or when said allegations, if 
assumed true, constitute a criminal act. Any students who elects to be accompanied 
by an attorney shall be required to give advance notice to the hearing entity. 

Any undergraduate or graduate student who is subject to a penalty of expulsion 
or suspension from the University for more than ten days shall have the right, at 
the student's expense, to have an attorney present, Said attorney shall be prohibited 
from directly participating in the hearings, addressing the hearing officer and/or 
committee, and shall be permitted to confer only with the accused students. Further, said 
attorney shall be permitted to submit a written statement that will be considered by 
the final appellate entity before a final decision is issued. 

If students are represented by counsel under 1 2 or 1 3, counsel may not be an 
employee of the student legal services offices supported by University funds. 

The motion was then seconded. There was then discussion about the motion. Mr. Applebee, 
Director of Student Affairs at the Boston campus spoke of the campus support for the 
recommendation presented by the President. The Ad Hoc Committee formed to study this issue 
found that past experience has provided ample evidence that permitting attorneys to be present 
during disciplinary hearings is not appropriate and that the presence of attorneys can have a 
disruptive effect on hearings. 



-4- 



Committee on Academic and Student Affairs 
October 7, 1996 

Trustee Karam went on to thank Mr. Okray and Trustee Croft for their work on this 
important issue. He then stated his support for the Ad Hoc Committee's recommendation and 
encouraged students to continue to bring issues to the Board that will allow Trustees to step back 
and look at issues at a student's point of view. 

Chair McNeil then asked for a vote on Trustee Croft's amended vote. Trustees Andriolo and 
Poduska abstained from the vote and the motion failed. Trustee Croft objected to the 
consideration of the President's recommendation. General Counsel Kirby then informed the 
Committee that the motion needs a majority vote to pass. Trustee Croft then withdrew his 
motion to object and Chair McNeil offered the motion presented by the President: It was then 

VOTED : To recommend that the Board take the following action: 

To authorize the President to~approve amendments to the student disciplinary 
codes for each campus to reflect the recommendations contained in the Report of 
the Ad Hoc Chancellors' Advisory Group on Codes of Student Conduct, 
including: 

1. Every undergraduate or graduate student subject to disciplinary procedures for 
violations of conduct regulations shall be allowed to be accompanied by an 
advisor during a hearing or an appeal. The nature and extent of the advisor's 
participation shall be determined by campus procedures. The advisor must be 
selected from the campus community, and may include another student or a full- 
time employee of the campus. Attorneys shall be prohibited from serving as 
advisors or otherwise accompanying the student, with the exceptions noted 
below. 

2. Any undergraduate or graduate student subject to disciplinary proceedings who 
faces pending criminal charges arising from the same facts shall be permitted to 
select as his advisor an attorney, without regard to whether the attorney is a 
member of the campus community. This right to have an attorney present (at the 
student's expense) will also apply when in the judgment of the hearing officer or 
panel it appears likely that such charges will be filed. Any student who elects to 
be accompanied by an attorney should be required to give advance notice to the 
hearing entity. 

3. Any undergraduate or graduate student who has been found guilty at a 
disciplinary hearing and who has been given a penalty of expulsion or 
suspension from the University for more than ten days should have the right, at 
the student's expense, to submit a written statement drafted by an attorney that 
will be considered by the final appellate entity before a final decision is issued. 

4. If students are represented by counsel under f 2 or 1 3, counsel may not be an 
employee of the student legal services offices supported by University funds. 
(Doc. T96-113) 

The motion passed by a unanimous vote. Chair McNeil thanked Mr. Okray and Trustee Croft for 
bringing these issues to the Board. 

The next item was the Establishment of the Robert C. Wood Visiting Professorship, 
UMASS Boston . Vice President Botman and Provost Esposito reported that former President 
Robert Wood and his wife Peggy will be making a gift of $200,000 to the Boston campus to 
establish a Visiting Professorship in Public and Urban Policy. The Boston campus expects to 
match this Professorship with additional donations. 



-5- 



Committee on Academic and Student Affairs 
October 7, 1996 

It was then moved, seconded and i 

VOTED: To recommend that the Board take the following action: 

To establish the Robert C. Wood Visiting Professorship of Public and Urban 
Policy at the University of Massachusetts. (Doc. T96-106) 

The next item was an Update on Enrollment Planning . Vice President Botman called on the 
Provosts for their reports. Provost Esposito reported that the undergraduate enrollment figures 
at UMASS Boston were stable. Preliminary figures for next year would be presented in the next 
cycle. 

Provost Crosson reported the Amherst canjpus was pleased with their enrollment figures and 
introduced Vice Chancellor Robinson to speak on the subject. Vice Chancellor Robinson reported 
that there were nine Commonwealth Scholars this year which is in addition to eight last year. He 
also reported that applications and enrollments are up from last year. 

Provost Wagner from the Lowell campus reported that the College of Management in the 
undergraduate level and some of the Engineering Departments are experiencing lower numbers 
which mirrors an overall decline throughout the country. Of special note was the lack of females 
entering the Engineering field. The campus has recently made an appointment of a female 
faculty member in the Department of Electrical Engineering. He also reported that the campus is 
in the process of forging a stronger relationship between the colleges and the Admissions office to 
better inform students and their parents of the positive experience attending UMASS Lowell. 
Overall the enrollment figures are fairly strong. 

Provost Taggie then introduced Assistant Chancellor Richard Burke. He reported on the 
campus' efforts to improve the quality of entering students and that the campus is in the process 
of a national search for an admissions director. He also reported that a staff member on campus 
has taken the position of Director of Recruitment and Retention to better serve culturally 
disadvantaged students. 

Trustee Karam then asked for a report of enrollment management including the affect the 
University's higher standards for admission is having on minority students, and a review of the 
goals the University is trying to reach as a result of these increased standards. 

There was a discussion revolving around these issues and the effort to recruit not only the 
students on top but students that may have great potential without the high numbers and the 
retention efforts to keep students at the University. Vice President Botman informed the 
Committee that an in-depth report will be presented to the Committee in the 
November/ December cycle. 

The next item on the agenda was the Appointments with Tenure, UMASS Dartmouth and 
UMASS Lowell. Chair McNeil stated that the Committee would then vote to enter into 
Executive Session for these two agenda items and further stated that the Committee would not 
reconvene in open session at the conclusion of these actions. 

Trustees Andriolo, Arciero, Bissonnette, Giblin, Karam, Kraft, McNeil, and Poduska voted for 
the motion. The time was 3:26 p.m. 



Committee on Academic and Student Affairs 
October 7, 1996 



It was moved, seconded and 



VOTED : To enter into Executive Session for the purpose of considering Appointments 
with Tenure, UMASS Dartmouth and UMASS Lowell. 




Barbara DeVico 
Staff Assistant 



n 






UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Wednesday, November 20, 1996; 1:00 p.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair McNeil; Vice Chair Poduska; Trustees Andriolo, 
Arciero, Bissonnette, Carter, Giblin, Karam, and Kraft 

Committee Members Absent Trustee Sweeney 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice 
President Botman; Associate Vice President Layton; Provosts Crosson, Esposito, Taggie and 
Wagner; Associate Vice President Griesemer; Mr. O'Riordan, Institutional Research Associate; 
Vice Chancellor Hedgepeth; Vice Chancellor Burke 

UMASS Amherst : Professors Terry and Bracey; Ms. Mears and Mr. Forbes 

Faculty Representatives : Professors O'Connor, Knight, and Singh 

Chair McNeil convened the meeting at 1:10 p.m. and asked President Bulger to report on 
current issues. 

President Bulger first reported on his visits to high schools across the state and expressed 
his pleasure with the response and the positive feedback from his appearance on the David 
Brudnoy radio show. He further reported that the President's Program Fund had awarded 
$40,000 to support professional development projects in Learning and Instructional Technology; 
the campuses will be asked to match this amount. He also reported that the Administrative 
Redesign project is going well. 

There was then a brief discussion regarding the proposed tuition cut which will be acted on 
at the next meeting of the Committee on Administration and Finance. 

Chair McNeil then spoke of her attendance at the past weekend's activities at the 
Amherst campus celebrating the inauguration of the Graduate Program of the W. E. B. DuBois 
Department of African-American Studies which was developed in collaboration with the 
Boston campus. She then introduced Professors Esther Terry and John Bracey, Jr. from the 
African American Studies Program and thanked them for their work making this program such 
a success. She also introduced students Tanya Mears and Michael Forbes who spoke of their 
positive experience with the Program. 

Chair McNeil then introduced Professor Kinney from the Amherst campus who had held a 
Conference the past weekend in connection with the Massachusetts Center for Renaissance 
Studies. 

The first item on the agenda was Appointments as Distinguished Professor, University of 
Massachusetts Boston . Vice President Botman and Provost Esposito reported to the Committee 
that both Professors Kamaljit Bawa and Lawrence Blum have distinguished themselves as 
significant researchers and highly regarded members of their respective fields. It was moved, 
seconded and 



Committee on Academic and Student Affairs 
November 20, 1996 



VOTED : To recommend that the Board take the following action: 



To concur with the President in the appointment of Kamaljit Bawa as 
Distinguished Professor of Biology a the University of Massachusetts Boston. 



And further, 



To concur with the President in the appointment of Lawrence Blum as 
Distinguished Professor of Liberal Arts and Education at the University of 
Massachusetts Boston. (Doc. T96-125) 

The next items, Naming of the Polymer Morphology Laboratory, UMASS Amherst and the 
Establishment of Named Professorships, UMASS Amherst were reported to the Committee for 
information only and would be voted on by the Committee on Administration and Finance on 
November 21. 

Associate Vice President Griesemer then gave an Update on Outreach and Distance 
Learning , highlighting multi-campus efforts that connect research, education and training, 
economic development and public services activities of the University with the 
Commonwealth. Featured programs included the $100,000 grants program that supports 
collaborations between UMASS and the Department of Mental Retardation; the Massachusetts 
Corporation for Educational Telecommunications (MCET) which offer a wide range of programs 
across the campuses; and the Massachusetts Office of Business Development Regional Economic 
Strategies Project, a $40,000 Grant from Economic Affairs for follow-up to "Choosing to 
Compete", the Governor's economic strategy developed in collaboration with the University 
three years ago. 

The next item on the agenda was the presentation of Enrollments and Admissions . Vice 
President Botman called on Associate Vice President Layton to provide highlights from the 
Admissions and Enrollment Summary. She then reviewed the report noting the decline in the 
acceptance rate at the Amherst and the Lowell campuses, and an increase in the number of 
those students who are accepted that enroll at Amherst and Dartmouth and a slight decrease 
at Boston and Lowell. Fall enrollment figures are up slightly University-wide over last year. 
Ms. Layton went on to inform the Committee that there would be a Student Profile Report for 
the Fall Semester with more details in the upcoming months. 

Provosts Crosson, Esposito, Taggie, Wagner and Vice Chancellor Burke from the Dartmouth 
campus then updated the Committee on campus efforts regarding enrollments and admissions 
and described the process of enrollment management as an overall approach to all activities 
from attracting and retaining students; management, assessment, recruitment; selling the 
institution; matching the student to the best area of study; reviewing campus plans and 
admission standards. 

There was then a request from Chair Karam for more information regarding enrollment and 
admissions goals to measure our success for the future to better understand what direction the 
University is headed. There was also a request for a breakdown by head count of part-time and 
full-time students. It was suggested that these issues come before the Committee of the Whole 
so that the full Board would have the opportunity to engage in these discussions. 



-2- 



Committee on Academic and Student Affairs 
November 20, 1996 



Vice President Botman then recognized Mr. Steve O'Riordan for his work in preparing and 
analyzing the data presented. 



The meeting adjourned at 2:55 p.m. 



bojon^.tie^fcui 



Barbara F. DeVico 
Staff Assistant 



■3- 



m 



• 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON 'DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, February 6, 1996; 3:00 p.m. 

Faculty Club, Healey Library 

University of Massachusetts Boston 

Boston, Massachusetts 

Committee and Committee Staff : Chair O'Leary; Trustees Andriolo, Bogan, Giblin, Haynes, Hoff, 
Karam, Okray, Reed, Rivera and Taylor; Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustees Flores and Spence 

Other Trustees : Trustees Foley, Kraft, Lewenberg and Morrissey 

University Administration : President Bulger; General Counsel Kirby; Vice President/Secretary Boyd; 
Vice President Lenhardt; Chancellors Cressy, Hogan, Lazare, Penney and Scott; Vice Chancellors Dars, 
Goodwin, MacCormack, Page and Deputy Chancellor Stanton; Ms. Uber, University Budget Director 

Faculty Representative : Professors Carroll, Knight, May, Phelan and Dr. Cooke 

Chair O'Leary convened the meeting at 3:15 p.m. The first item on the agenda was the Campus 
Center, UMASS Boston, and Chair O'Leary called on Chancellor Penney to present on this item. 
Chancellor Penney summarized the planning process and described the facility relative to the needs of 
the campus. The Chancellor reported that there was $25 million authorized in the Capital Bill, the 
campus was authorized to borrow $25 million through HEFA or the Building Authority. To pay part of 
the debt service, the campus will put into place a student fee (to be presented at the April 1996 Board 
meeting), and is also looking at many development possibilities with naming opportunities (hoping to 
raise $5-10 million). The Committee then watched a video-tape which identified the best potential site for 
constructing the campus center, taking into consideration various factors including automobile and 
pedestrian traffic. All student services would be housed in the campus center, some academic services, 
book and computer stores, and food services, and this building would connect Wheatley Hall and the 
Science Building. The Chancellor reviewed some potential concerns, including the campus' payment of 
its share of the debt service, the operating costs, balance of new construction versus maintenance and 
repairs, and provided information in each area as reported in the financial plan. Chancellor Penney then 
thanked Deputy Chancellor MacCormack for her work on this plan, and also thanked the members of the 
staff at the Amherst campus who offered technical support for the presentation. Some discussion 
regarding building endowment and fundraising, student fees, and space and design was held. 

It was then moved, seconded and 

VOTED: To recommend that the Board take the following action: 

In accordance with Trustee policy, Doc. T93-122, to approve the design and construction 
of a Campus Center at the Boston campus as described in Doc. T96-019, provided that the 
President and Chancellor shall provide regular reports to the Board on the progress of 
said project. 

Trustee Okray voted against the motion. 



The next item on the agenda for action was the Funding of the Commonwealth Scholars Program . 
Vice President Lenhardt informed the Committee that funds previously dedicated to the President's 
housing allowance be instead used to fund the Commonwealth Scholars Program because President 
Bulger did not negotiate a housing allowance as part of his contract. The Committee members 
acknowledged the President's leadership in fundraising. 

It was then moved, seconded and 

VOTED; To recommend that the Board take the following action: 

To establish an account to be called the University of Massachusetts University 
Commonwealth Scholars Fund to fund the University Commonwealth Scholars Program 
as described in Doc. T96-014, (which may be modified by the Vice President of Academic 
Affairs in consultation with the Chancellors), provided that the University Treasurer is 
authorized and directed to budget and transfer $24,000 into said account from funds 
previously used to pay the President's housing allowance; and provided further, that the 
Board hereby authorizes the Chair to continue such annual transfers in the future 
without further approval from the Board. 

The next item on the agenda was the Lease with Health Alliance Burbank Hospital . Chancellor 
Lazare explained to the Committee that a family residency program in Fitchburg was operating in 
unsatisfactory space, and this lease offers the opportunity at $7 per square foot for appropriate office 
space at Burbank Hospital, with which the Medical Center has an affiliation. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action: 

To authorize and direct the President subject to approval by the Secretary of 
Administration and Finance, to take any actions necessary including filing requested 
reports under Section 36C of Chapter 75 of the General Laws and entering into a lease 
with Health Alliance to permit the Medical Center to operate a clinical residency 
program at Burbank Hospital in Fitchburg. 

The next item on the agenda for discussion was the FY 1996 Budget Overview . Vice President 
Lenhardt reminded the Committee that this is now an annual presentation. His office worked on three 
potential scenarios for FY97: negative, moderate, and positive. These scenarios are based on 1996 
numbers with certain assumptions accounting for the three different projections in the years FY97-2000. 
The numbers do not include the clinical system or grant and contract operations. Valerie Uber then 
presented historical information including student charges, enrollment, financial aid, personnel trends, 
and trends in the state appropriations from FY89 to FY96. Ms. Uber then reviewed the three 
revenue/expense scenarios, describing in detail the factors in each situation with implications for the 
budget. Some discussion regarding the potential 5% tuition rollback (proposed by HECC), early 
retirement, student grants and loans/financial aid, savings from the administrative redesign program, 
and fundraising was held. Chair O'Leary reminded the Trustees to provide any feedback on these 
scenarios to the President's Office. 

The next item on the agenda was the University Financial Aid Update . Chair O'Leary suggested 
that, in the interest of time and due to the fact that information on Financial Aid did come up in the 
Budget discussion, that the Committee move on to the next item on the agenda, the FY 1997 Governor's 
House I Budg et. Vice President Lenhardt reviewed the budget proposal for the University from the 
Governor's Budget, which includes an appropriation of $207 million, tuition retention (estimated at $98 
million), a $30 million pool to HECC, and also included a fundraising pool. This led to some discussion 
regarding the University's lobbying efforts. 



-2- 



The next item on the agenda for discussion was the FY 1997 Tuition and Fees . Vice President 
Lenhardt reviewed tuition charges over the past few years, and stated that since FY92 the University had 
very low increases compared with many states. Information distributed also showed the impact on 
student costs of a 5% rollback and a 2.4% increase. In terms of the tuition and the budget discussion, it 
was suggested that involvement of all members of the University community, as in past years, would be 
important. 

Chair O'Leary then turned to Trustee Okray regarding his motion on 1997 Tuition and Fees. Chair 
O'Leary stated that with more information, a more in-depth discussion of House I, and a closer look at 
budget projections, this vote would be more appropriately discussed at the April meeting, as is 
customary for the Board. Some discussion regarding the position that the University has taken in regard 
to the tuition and fees and lobbying for the University budget was then held. Trustee Morrissey spoke to 
the student support at UMASS Dartmouth for the continuation of the program at that campus to bring 
the tuition and fees there closer to the other campuses' charges, and that the students do support a $121 
increase. 

Chair O'Leary then recognized Christine Lopes, President of the Student Government Association at 
UMASS Amherst, who had requested to speak to this issue. Ms. Lopes stated that the students at the 
Amherst campus support a 5% rollback and said that the students there are very concerned about 
working with the administration to support a strong budget that will make the rollback possible. Some 
further discussion regarding the University's tuition position and lobbying efforts over the past few years 
was held. The President then remarked on the importance of considering all aspects of the budget before 
voting on tuition for FY97. He went on to say that the demands on the state budget are very heavy, and 
that it is in the University's interest to appeal for stability in funding and that the University's message 
must be very clear. Chair O'Leary then stated that the tuition vote would be taken up at the next meeting. 

Chair O'Leary noted that next items on the agenda the FY 1995 Financial Report Follow-up . and the 
Status Report on the President's Action Plan were informational, and materials had been distributed; 
Vice President Lenhardt pointed out a few items of interest for the Committee and reported that further 
discussion on the Capital Program would be presented to the Board in April. 

There being no further business, the meeting adjourned at 5:15 p.m. 




Elizabeth H. Tuthill Farrell 
Assistant Vice President for 
Board Relations 



( 



r 






UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON 'DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Wednesday, April 3, 1996; 2:00 p.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair O'Leary; Trustees Andriolo, Bogan, Flores (arrived late), Giblin, 
Karam, Okray, Rivera and Taylor; Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustees Haynes, Hoff and Spence 

Other Trustees: Trustees Fey, Foley, Lewenberg and Morrissey 

University Administration : President Bulger; General Counsel Kirby; Vice President Lenhardt; 
Chancellors Cressy, Hogan, Lazare, Penney and Scott; Ms. Valerie Uber, University Budget Director; Ms. 
Janet Wanzyck, University Controller 

Faculty Representatives : Professors Knight, May, and Phelan 

Chair O'Leary convened the meeting at 2:00 p.m. The first item on the agenda was the Policy on 
Conflicts of Interest Relating to Intellectual Property and Commercial Ventures, the Intellectual 
Property Policy, and the Policy on Faculty Consulting and Outside Activities . Vice President/General 
Counsel Kirby provided background information regarding this item, including the policy development 
process which involved a Five Campus Task Force and staff, including senior members of the 
administration on the campuses. She described the purpose of the policies to enable greater success and 
involvement in technology transfer and identified the specific changes in these three policy areas with 
anticipated impact on the campuses. While four of the campuses are or will be negotiating these policies, 
the Worcester campus will enact these policies immediately. Vice President Chmura said that the policies 
are designed to encourage technology transfer activity among the faculty, to protect the rights of the 
University to the intellectual property, and to protect the faculty from issues of conflict. He also 
identified the various procedural and organizational steps that will put the University on a par with other 
national universities. Vice President Chmura then identified several current activities that will benefit 
from this policy. Chancellor Lazare commented on the importance of these policies on recruitment 
efforts. 

It was then moved, seconded and 

VOTED: To recommend that the Board take the following action on the Board Consent Agenda: 

In accordance with section 14A of Chapter 75 of the General 
Laws to adopt the Policy on Conflicts of Interest Relating to 
Intellectual Property and Commercial Ventures, (Doc. T96-039) 
the Intellectual Property Policy, (Doc. T96-040) and the Policy on 
Faculty Consulting and Outside Activities (Doc. T96-047) for the 
Worcester campus provided that under section III G the 
Worcester Chancellor may establish a different allocation of net 
income (other that the CVIP portion) in any particular instance, 
or, in general for the campus. And further, to direct the President 



through the Chancellors to continue to negotiate said policies at 
the Amherst, Boston, Dartmouth, and Lowell campuses, 
provided that until said policies are agreed to by the parties to 
the applicable collective bargaining agreements, employees on 
such campuses shall continue to be governed by the provisions 
of Chapter 268A of the General Laws, as well as campus policies 
currently in effect, when engaged in research and technology 
transfer. These policies once effective for a campus shall 
supersede and rescind all other policies currently in effect in the 
University which are inconsistent herewith. 

The next item on the agenda was the John F. Kennedy Scholarship . President Bulger spoke to this 
item, noting that it had been requested that this scholarship fund be pooled with other endowments 
which will improve the growth potential of the principal. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action on the Board Consent Agenda: 

To amend the provisions of the "John F. Kennedy Scholarship in 
Memory of John B. Crimmins" as follows: by striking the 
following language — "in an interest-earning account at a local 
trust or similar banking institution in South Boston" — and 
substituting therefor the following — "with other endowment 
funds of the University, expenditures from this account to be 
governed by the Spending Rate Policy" 

The next item on the agenda was the Department of Defense Exclusion List . General Counsel Kirby 
reminded the Committee that this vote is necessary when there are changes on the Board." 

It was then moved, seconded and 

VOTED: To recommend that the Board take the following action on the Board Consent Agenda: 

WHEREAS, current Department of Defense Regulations contain a 
provision making it mandatory that the Chairman of the Board, 
the President, the Secretary; and the designated Facility Security 
Officer meet the personnel clearance requirements established for 
a contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the 
exclusion from the personnel clearance requirements of certain 
members of the Board of Trustees and other officers, provided 
that this action is recorded in the minutes. 

NOW, THEREFORE, BE IT DECLARED that the Chairman of the 
Board, the President, the Secretary and the designated Facility 
Security Officer at the present time do possess or will be 
processed for the required security clearance; and 

BE IT RESOLVED that in the future, when any individual enters 
upon any duties as Chairman of the Board, the President, 
Secretary or other person designated as Facility Security Officer, 



-2- 



such individual shall immediately make application for the 
required security clearance; and 

BE IT RESOLVED FURTHER that the following members of the 
Board of Trustees and other officers shall not have, and can be 
effectively excluded from access to all classified information in 
the possession of the University and do not occupy positions that 
would enable them to affect adversely policies or practices in the 
performance of classified contracts for the Department of Defense 
or the User Agencies of its Industrial Security Program: 

NAME TITLE 



Brian Andriolo 


Trustee 


Daniel E. Bogan 


Trustee 


Grace K. Fey 


Trustee 


Heriberto Flores 


Trustee 


Michael T. Foley, M.D. 


Trustee 


William E. Giblin 


Trustee 


Robert J. Haynes 


Trustee 


Charles J. Hoff 


Trustee 


Robert S. Karam 


Trustee 


Myra H. Kraft 


Trustee 


Peter K. Lewenberg 


Trustee 


Ogretta V. McNeil 


Trustee 


Matthew Morrissey 


Trustee 


John N. Naughton 


Trustee 


James F. O'Leary 


Trustee 


John J. Okray 


Trustee 


John William Poduska 


Trustee 


Daniel Rivera 


Trustee 


Michael J. Sentance 


Trustee 


Rina K. Spence 


Trustee 


Timothy Sweeney 


Trustee 


m on the aeenda was the University 


/ and Peer Financial Ratios 



asked Janet Wanczyk, University Controller to give a short presentation on peer university systems. Ms. 
Wanczyk reminded the Committee of the importance of this information to the Trustees in understanding 
the condition of the University relative to other similar institutions, helping administration to explain any 
disparities, providing information on best practices, and the usefulness of the comparative data in looking 
at competing institutions. The financial condition is compared to Moody's indicators since they analyze 
the University's financial condition when the University borrows money. The indicators reviewed by Ms. 
Wanczyk reveal the University's financial condition as stable, with the three year review showing 
consistency and stability. Ms. Wanczyk then reviewed specific information from her report: excess of 
revenues over expenditures and mandatory transfers; operating margin; expendable fund balances as a 
percentage of unrestricted expenditures and mandatory transfers; debt service as a percentage of 
unrestricted expenditures and mandatory transfers; long-term debt; available net assets with respect to 
total debt; endowment assets as a percent of total assets; and endowment assets. Some discussion 
regarding establishment of new goals in response to these indicators then took place. There was also 
some discussion regarding tuition and fees as a percentage of total educational and general revenues. 

The next item on the agenda for discussion was the FY1996 Financial Indicators presented by 
University Budget Director Valerie Uber. The presentation focused on the five indicators approved by 



-3- 



the Board last year as measures of the University's financial condition. Ms. Uber pointed out that the 
these indicators reflect campus priorities, and look at anticipated future performances. The projections 
are based on a set of assumptions about projected revenues and expenditures. Ms. Uber then reviewed 
the following areas for the years FY1995 to FY2001: operating margin; financial cushion; current ratio 
(measurement of assets to liabilities); debt service to operations; and endowment per student. Based on 
these projections, Ms. Uber stated that the indicators are positive for FY2001, though reserves will be 
modest, and targets reflect priority areas such as investing in plant and increasing the endowment. Some 
discussion following the presentation included the impact of the clinical systems on these indicators, and 
the need to have a greater emphasis on building the endowment and associated earnings. It was 
requested that at a future meeting the Chancellors present information on endowment goals. The issue 
of tuition and fees as a percentage of total educational and general revenues was revisited, and the 
Committee requested that this information be presented again at the next meeting with the revenues and 
expenses related to auxiliary services included and the clinical system taken out of the equation; it was 
also requested that the Fair Share calculation be presented. 

The next item on the agenda for action was the FY1997 Tuition and Fees . President Bulger reminded 
the Committee of the previous four years' policy of minimizing increases and with the aim that any 
increases be tied to the rate of inflation or less, knowing that this policy provided stability and 
predictability for students, and was also important to the University's financial planning processes. The 
President went on to say that the recommendation for this year is only modified by recommending 
increases at one-half of CPI or less, with the campuses at Dartmouth and Worcester being the exceptions. 
President Bulger also addressed the issues raised by the Higher Education Coordinating Council (PIECC), 
reiterating the importance of affordable and competitive education levels to the University, and stated 
that in the event that the HECC Board votes to approve to set the University's tuition rates, that the 
University would not engage in an argument regarding such an action. Many members of the Committee 
spoke to the University's responsible approach as reflected in its past tuition policy. Chancellor Lazare 
then addressed the proposed change in the medical school tuition and the learning contract tuition 
remission plan, which is ultimately protected by this change in tuition. The Committee then reviewed the 
Dartmouth campus situation and the student support for the planned increase with the caveat that in the 
event that funds do not allow for the implementation of the match program, the campus may come back 
to the Committee for review of this proposal. The Committee also discussed the continuing sensitivity to 
and study of non-resident fees. 

The Committee then heard from Trustee Okray regarding his alternative tuition and fee vote, 
recommending a 2.5% decrease at all campuses. Trustee Chair Taylor spoke to the importance of 
supporting the President's decision which looks toward a long-term plan of stability while building 
quality and access at the University. 

It was then moved, seconded and 

VOTED: To recommend that the Board take the following action: 

WHEREAS, in order to balance the need to provide a quality 
higher education with the need to provide access to higher 
education, the Board intends to keep total tuition and mandatory 
fee increases for 1996-97 to an amount no higher than the increase 
in consumer price index. 

NOW THEREFORE, in accordance with Section 1 A of Chapter 75 
with Section 9 (i) of Chapter 15A of the General Laws, to 
recommend to the Higher Education Coordinating Council that 
the tuition for the University campuses for Academic Year 1996- 
1997 shall be as follows: 



-4- 



Tuition: 



Amherst 
Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 

Boston 
Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 

Dartmouth 

Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 

Lowell 

Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 



From 
AY 1996 



$2,220.00 
$8,566.00 
$2,778.00 
$8,566.00 



$2,220.00 
$8,568.00 
$2,778.00 
$8,568.00 



$1,836.00 
$6,919.00 
$2,206.00 
$6,919.00 



$1,884.00 
$7,028.00 
$2,260.00 
$7,028.00 



Worcester 

Medical School (Current Students) $8,792.00 

Medical School (Incoming Students) $8,792.00 

"Graduate (Mass. resident) $2,738.00 

"Graduate (non-resident) $8,566.00 



To 

AY 1997 



$2,220.00 
$8,566.00 
$2,778.00 
$8,566.00 



$2,220.00 
$8,568.00 
$2,778.00 
$8,568.00 



$1,836.00 
$6,919.00 
$2,206.00 
$6,919.00 



$1,884.00 
$7,028.00 
$2,260.00 
$7,028.00 



Annual 
Dollar % 
Change 



$0.00 
$0.00 
$0.00 
$0.00 



$0.00 
$0.00 
$0.00 
$0.00 



$0.00 
$0.00 
$0.00 
$0.00 



$0.00 
$0.00 
$0.00 
$0.00 



$9,800.00 $1,008.00 

$10,800.00 $2,008.00 

$2,738.00 $0.00 

$8,566.00 $0.00 



Change 

0.0% 
0.0% 
0.0% 
0.0% 



0.0% 
0.0% 
0.0% 
0.0% 



0.0% 
0.0% 
0.0% 
0.0% 



0.0% 
0.0% 
0.0% 
0.0% 



11.5% 

22.8% 

0.0% 

0.0% 



And further, in accordance with Section 1A of Chapter 75 of the General 
Laws, to establish and approve the fees and the fee-based budgets for 
Academic Year 1996-97 as listed in Doc. T96-042, including the following: 



-5- 



Curriculum Fees: 





From 
AY 1996 


To 

AY 1997 


Annual 
Dollar % 
Change 


Cha 


Amherst 
Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 


$2,031.00 
$2,031.00 
$1,714.00 
$1,714.00 


$2,031.00 
$2,065.00 
$1,714.00 
$1,748.00 


$0.00 

$34.00 

$0.00 

$34.00 


0.0% 
1.7% 
0.0% 
2.0% 


Boston 
Undergraduate 
Graduate 


$1,876.00 
$1,876.00 


$1,936.00 
$1,936.00 


$60.00 
$60.00 


3.2% 
3.2% 


Dartmouth 

Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 


$1,953.00 
$2,967.00 
$2,111.00 
$2,967.00 


$2,074.00 
$3,260.00 
$2,245.00 
$3,260.00 


$121.00 
$293.00 
$134.00 
$293.00 


6.2% 
9.9% 
6.3% 
9.9% 


Lowell 
Undergraduate (Mass. resident) 
Undergraduate(non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 


$2,646.00 
$2,646.00 
$2,646.00 
$2,646.00 


$2,646.00 
$2,646.00 
$2,646.00 
$2,646.00 


$0.00 
$0.00 
$0.00 
$0.00 


0.0% 
0.0% 
0.0% 
0.0% 


Worcester 
Medical Students 
Graduate School of Nursing 
Graduate School of Biomedical Scienc 


$1,250.00 

$1,250.00 

. $330.00 


$1,250.00 

$1,250.00 

$330.00 


$0.00 
$0.00 
$0.00 


0.0% 
0.0% 
0.0% 



«* 



-6- 



Mandatory Fees: 









Annual 






From 


To 


Dollar % 






AY 1996 


AY 1997 


Change 


Cha 


Amherst 










Undergraduate 


$1,263.00 


$1,273.00 


$10.00 


0.8% 


Graduate 


$1,051.00 


$1,059.00 


$8.00 


0.8% 


Boston 










Undergraduate 


$304.00 


$298.00 


($6.00) 


-2.0% 


Graduate 


$304.00 


$298.00 


($6.00) 


-2.0% 


Dartmouth 










Undergraduate 


$333.00 


$333.00 


$0.00 


0.0% 


Graduate 


$333.00 


$333.00 


$0.00 


0.0% 


Lowell 










Undergraduate 


$76.00 


$76.00 


$0.00 


0,0% 


Graduate 


$76.00 


$76.00 


$0.00 


0.0% 


Worcester 










Medical School, Year 1 & 2 


$470.00 


$490.00 


$20.00 


4.3% 


Medical School, Year 3 & 4 


$470.00 


$490.00 


$20.00 


4.3% 


Graduate - Nursing School 


$470.00 


$490.00 


$20.00 


4.3% 


Graduate School of Biomedical Sci. 


$420.00 


$440.00 


$20.00 


4.8% 


Room and Board: 






Annual 






From 


To 


Dollar % 






AY 1996 


AY 1997 


Change 


Cha 


Amherst 










Average Room 


$2,376.00 


$2,416.00 


$40.00 


1.7% 


Average Board 


$1,812.00 


$1,812.00 


$0.00 


0.0% 


Dartmouth 










Average Room 


$2,628.00 


$2,676.00 


$48.00 


1.8% 


Average Board 


$2,067.00 


$2,150.00 


$83.00 


4.0% 


Residential Telecommunications 


$0.00 


$150.00 


$150.00 


N/A 


Lowell 










Average Room 


$2,460.00 


$2,520.00 


$60.00 


2.4% 


Average Board 


$1,886.00 


$1,940.00 


$54.00 


2.9% 


Residential Telecommunications 


$100.00 


$110.00 


$10.00 


10.0% 



-7- 



Provided, however, that such rates shall be subject to ratification by the 
University of Massachusetts Building Authority as required by applicable 
law or trust agreements. 



Trustee Okray is noted as voting against the motion. 

The following items were withdrawn from the agenda: Campus Center Fee, UMASS Boston and the 
Trustee-Requested item FY1997 Tuition and Fees . 

The next item on the agenda was the Yearbook Fee . It was moved, seconded and VOTED to table 
this item to the appropriate meeting. 

The following items on the agenda were withdrawn: Parking Fee (to come back in the normal fee 
cycle) and the Nantucket Field Station . 

The next informational item on the agenda was the Capital Presentation . Vice President Lenhardt 
reviewed the University's status in to the Commonwealth's Capital plan ($4.5 billion over five years), 
where the University would receive approximately $30 million per year over the next five years. He 
further reviewed the amount of bonds outstanding versus authorized-unissued bonds, and the state's 
debt service. Vice President Lenhardt reminded the Committee of the original borrowing plan for the 
University based on the initial commitment of the Commonwealth, out of which the University borrowed 
$22 million last year for repairs and maintenance, and also reviewed the breakdown of the $260 million 
plan of fall, 1995. The most recent update on plans was also presented, and Vice President Lenhardt 
identified particular projects that would have been done over the next five years if the full amount had 
been approved. The latest word from the state for UMASS is $163 million and $30-some million for 
Worcester, with the University borrowing 54% of the total capital effort at approximately $228 million. 
The administration will bring this item back to the Board on a continuing basis. 

The next items on the agenda were the FY1995 Financial Report Follow-up and the 2nd Quarter 
Interim Financial Report . 

There being no further business, the meeting adjourned at 3:40 p.m. 

Elizabeth H. Tu thill Farrell 

Asst. Vice President, Board Relations 



- 



-8- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, May 29, 1996; 1:00 p.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair O'Leary; Trustees Andriolo, Flores (arrived late), Hoff, 
Karam and Taylor; Ms. Farrell, Secretary to the Board 

Committee Members Absent : Trustees Bogan, Fey, Haynes, Giblin, Okray, Rivera and Spence 

Other Trustees: Trustees Kraft and Lewenberg 

University Administration : President Bulger; General Counsel Kirby; Vice President Lenhardt; 
Chancellors Cressy, Hogan, Penney (left early) and Scott; Deputy Chancellors MacCormack and 
Stanton; Ms. Janet Wanzyck, University Controller 

Faculty Representatives : Professors Knight, May, and Phelan 

Chair O'Leary convened the meeting at 1:00 p.m. The first item on the agenda was the Transfer 
of Funds to the Lowell Arena Commission for Hockey Arena. UMASS Lowell. Chancellor Hogan 
updated the Committee on changes, including the location which is on campus, the operating costs 
are approximately $80,000 higher, the campus will contribute $4 million and receive 700 hours ice- 
time and 8000 s.f. of space. Dana Skinner, Athletic Director, presented a sketch of the new building, 
and noted that bids will be opened on June 4. He went on to describe the high-quality of the building 
which will impact on the quality of the hockey program and its location on campus will increase 
campus quality of life. Discussion followed regarding the design changes which changed from an all- 
purpose facility to a hockey complex, with the University as the primary tenant; bids are expected to 
come in at $20-22 million versus the previous $30 million with an October 1997 opening anticipated. 
The University as the primary tenant will have afternoon practice time and dedicated space for locker 
rooms, and has first options for the schedule. Also, in terms of the new agreement, the campus will 
have the same revenue stream as it currently enjoys at the Tully Forum, with questions of advertising 
sales still undetermined. The City of Lowell is the owner of the arena, and there is a memorandum of 
understanding regarding the management and upkeep of the arena. Regarding fundraising, Mr. 
Skinner reported that there are current activities to encourage private giving. The Chancellor then 
gave an overview of the location and change in environment resulting from all projects, including the 
arena, that will improve the campus layout. Trustee Andriolo spoke to the positive efforts that have 
led to this point and the importance of this building in improving the campus space. Some 
discussion regarding the relationship between the City of Lowell and the University campus in 
Lowell, and the increasingly positive aspects of that relationship, was held. 

It was then moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To authorize the President or the President's designee to continue negotiations with 
the City of Lowell and the Lowell Arena and Civic Stadium Commission regarding 
the design and use of an arena, through a long-term lease, by the University of 



Committee on Administration and Finance 
May 29, 1996 



Massachusetts Lowell, and to authorize the President to authorize the Chancellor of 
the Lowell campus to transfer campus funds not to exceed four million dollars to the 
Lowell Arena and Civic Stadium Commission, in accordance with Section 3.0 of the 
attached Memorandum of Understanding between the University of Massachusetts 
Lowell and the Lowell Arena and Civic Stadium Commission. 

The next item on the agenda was Adoption of the Pol icy on Conflict of Interest Relating tn 
Intellectual Property and Commercial Ventures, the Intellectual Property Policy, and the Policy on 
Faculty Consulting and Outsid e Activities, UMAS S Lowell . General Counsel Kirby reminded the 
Committee that these policies were adopted for the Worcester campus at the last meeting; these have 
now been bargained and approved at Lowell with minor modifications. 

It was then moved, seconded and 

VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

In accordance with section 14A of Chapter 75 of the General Laws to adopt the Policy 
on Conflict of Interest relating to Intellectual Property and Commercial Ventures 
(Doc. T96-039A), and Intellectual Property Policy (Doc. T96-040), and the Policy on 
Faculty Consulting and Outside Activities (Doc. T96-047) for the Lowell campus. 

The next item on the agenda was the Capitalization and Inventory Control Policy . Vice 
President Lenhardt stated that this policy would eliminate the old policies for the previous 
institutions with a broader policy on inventory and capitalization, following concerns expressed by 
the state auditor. This policy assures that all title to property is clear and assigns to each campus 
chancellor the responsibility of tracking inventory and informing staff regarding procedures and 
guidelines, following specific guidelines issued by the President. The policy also calls for inventory 
to be taken at least every two years. 

It was then moved, seconded and 

VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

To approve the Capitalization and Inventory Control Policy as contained in Doc. T96- 
073, and to direct the President to formulate guidelines to assist the campuses in 
implementing the policy; further, to rescind the Equipment Inventory Policy in Doc. 
T91-074. 

The next item on the agenda was the Authorization for the Expenditure of Funds in FY1997 . 
Vice President Lenhardt reminded the Committee that this vote comes before the Committee each 
year as the full operating budget is not authorized until October. 

It was then moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To authorize the President to expend at the FY1996 rate, state and non-state funds for 
the University from July 1, 1996 until such time as the Board adopts the Operating 
Budget for FY1997. 



-2- 



♦ 



Committee on Administration and Finance 
May 29, 1996 



The next item on the agenda was the FY1997 Revenue-Based Budg ets. Vice President Lenhardt 
reminded the Committee that this is the second stage of the budget process each year, including all 
revenue-based budgets except for the clinical system, which will be approved by the Clinical 
Management Board in June and forwarded to the full Board at the August meeting. These budgets 
include various revenue departments on the campuses. Vice President Lenhardt reported that all of 
the budgets are in balance in terms of revenues and expenditures, these budgets being an aggregate 
of $140 million annually of auxiliary activity. He pointed out that transfers in the budgets are 
generally for equipment or other capitalization activities. 

It was moved and seconded. 

Vice President Lenhardt then reviewed the assumptions which the Administration used in 
establishing these budgets, including fringe benefit rates, unemployment insurance and workers 
compensation costs, collective bargaining agreement costs, and a portion of Medicare costs. 

It was then 

VOTED : To recommend that the Board take the following action: 

To approve the budgets and fee structures for the FY1997 Revenue-Based Budgets at 
the Amherst, Boston, Dartmouth, Lowell and Worcester campuses, and for Central 
Administrative Services, as described in Doc. T96-055, and further, to approve the 
establishment of the Planning Services Trust Fund and the Student Affairs Support 
Trust Fund at the Amherst campus, and the CAS Sales and Services Trust Fund for 
Central Administrative Services and their associated statements of trust, and further, 
to approve changes in trust names as appear in said document. 

The next item on the agenda was the Transfer of Funds to Quasi Endowment, UMASS Amherst . 
Vice President Lenhardt reminded the Committee that the Amherst campus has led the licensing 
program including revenues from the program, and the campus now plans to take a portion of these 
revenues to be placed into a quasi-endowment at the UMASS Foundation. According to the 
Foundation spending rate, funds will be distributed back to the campus for spending as part of their 
general operations. Chancellor Scott indicated that he would tentatively plan to use these funds for 
scholarships. Some discussion of the licensing program was held, and the staff who administer the 
licensing program were complimented by the Committee. The Committee also congratulated 
Chancellor Scott for this action. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To authorize the President or his designee to request the University of Massachusetts 
to establish a new quasi-endowment for the Amherst campus, provided that 
expenditures from said endowment shall be unrestricted and shall be subject to the 
University of Massachusetts Foundation Spending Rate Policy, and further, to 
approve the transfer of $350,000 in Amherst campus licensing revenues to fund said 
endowment (Doc. T96-058). 

The next item on the agenda was the Lease Agreement with Naval Station, UMASS Dartmouth . 
Chancellor Cressy described the space and the use that the campus will make of the facility, which 
also compliments the marine science initiative on the campus. 



-3- 



Committee on Administration and Finance 
May 29, 1996 



It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To delegate to the President who may sub-delegate to the Chancellor for the 
Dartmouth campus the authority, with the approval of the Division of Capital 
Planning and Operations, to lease for a nominal sum, the Naval Reserve Training 
Building in New Bedford for use as classroom offices and laboratories by the Marine 
Science Technology Program at the Dartmouth campus. 

The next item on the agenda was the A pproval of the Capital Program . Vice President Lenhardt 
informed the Committee that this vote is the culmination of the planning for the capital program 
which would run from July 1, 1996 through June 30, 2001. The program is $434, million over five 
years, and Vice President Lenhardt reported that the state is still committed to $217 million of general 
obligation bond dollars. The program represents a 50/50 effort between the University and the state, 
with the greatest amount of the University's share in this program likely being funded through tax- 
exempt bonds issued by the UMASS Building Authority. Vice President Lenhardt noted that all 
campus plans address all priority life-safety issues, all Title IX requirements will be met in the first 
two years of the program, and deferred maintenance is at the top of the lists over the first few years of 
the program. Also, Vice President Lenhardt pointed out that the vote does allow for some changes 
determined by the President as necessary, but any changes involving new construction would be 
brought back to the Board. Some discussion regarding the state's Executive Branch control over the 
release of these funds each year was held. The Committee expressed interest in seeing the 
breakdown between which projects would be funded by the state's funds, versus those resulting from 
Building Authority bonds. 

Some discussion regarding the capital program at the Amherst campus, particularly regarding 
deferred maintenance for general use classrooms, was held. The Chancellor also noted that a certain 
amount of funds from reallocation and strategic planning may possibly be used for the purpose of 
deferred maintenance in classrooms. Further discussion regarding the impact on faculty and student 
morale, as well as on admissions and recruiting, of dilapidated classrooms was held. The Committee 
asked to review again the percentage of the budget that should be dedicated each year to 
maintenance, particularly for the upkeep of classrooms. The Committee asked the Chancellor to 
report back to the President with a plan for addressing deferred maintenance in the classrooms, and 
the Chancellor stated that he would do so, but stated again the difficulty of prioritizing the many 
demanding deferred maintenance and capital projects. Some discussion regarding the projects on the 
list for the Amherst campus was then held. The Committee asked that the Chancellor also provide 
further information in the form of a memorandum regarding the power plant. 

Deputy Chancellor Stanton noted that several of the projects on the list for the Worcester campus 
are still under discussion and in early planning stages, and the projects will be brought to the Clinical 
Management Board when final designs are complete. At UMASS Boston, Deputy Chancellor 
MacCormack stated that at the end of FY2001, the campus will have completed 74% of deferred 
maintenance projects, and they are balancing deferred maintenance against necessary new 
construction, as well as internal cosmetic improvements. Improvements to the parking garage are a 
major priority. Chancellor Cressy stated the importance of these funds, particularly in the area of 
Title IX. And finally, Chancellor Hogan informed the Committee that the campus continues to follow 
suggestions made in the Bok Study which will continue under this capital outlay. The 
Administration further commented on the cooperation that has been built with the Department of 
Capital Planning and Operations (DCPO), particularly in projects at the Medical Center, but has been 
felt throughout the entire capital planning process. 



-4- 



Committee on Administration and Finance 
May 29, 1996 



It was then moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the Capital Program Projects list attached hereto as Exhibit A, provided 
that the President is authorized to amend said list as he may deem to be in the best 
interest of the University except for new construction projects which shall require 
Board approval; and to authorize the President to take all steps necessary and 
appropriate to provide two hundred seventeen million dollars ($217 million) in 
capital funds over the next five years for the University -finance portion of the list. 

The next item on the agenda was the Campus Center Fee. UMASS Boston . Deputy Chancellor 
MacCormack reported that this fee will provide critical funds for the campus center with $25 million 
from the state, and $25 from the campus. The Deputy Chancellor stated that the fee would be 
imposed in the first semester of the opening of the campus center (estimated for Spring, 2001), and 
the fee will be offset by fundraising which has been off to a good start. She further stated that the fee 
has the general support of the students. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the establishment of a Campus Center Trust Fund at the Boston campus, 
in order to meet the need for a dedicated source of revenue to support the debt 
service to be incurred in constructing the Campus Center; further, to authorize the 
imposition beginning in the spring semester of the year 2001 or for the first semester 
in which the Campus Center is open whichever occurs sooner, of a Campus Center 
Fee on all students at the Boston campus, not to exceed the rates set forth in Doc. T96- 
019. All revenues from the Campus Center Fee shall be deposited in the Campus 
Center Trust Fund. 

The next item on the agenda was the discussion of the FY1997 State Budg et. President Bulger 
informed the Committee that the University had received an increase in the budget from the Senate 
over FY96 of approximately $28 million (8%), which includes the collective bargaining agreement. 
The budget will now be debated in the conference committee. Trustee Andriolo also acknowledged 
the efforts of students who advocated for the University regarding the budget. 

The next item on the agenda was the Report of t he Investment Subcommittee . In the absence of 
Trustee Spence, Vice President Lenhardt reported that the Committee reviewed the results of 
investments for the Self Insurance Trust which had a return of 12.8%, the UMASS Foundation had a 
22.8% return, and the University's equity component had a return of 20.8%. The Committee also 
reviewed the Cash Management Policy which will be rewritten as the Investment Policy. There was 
also discussion regarding possible investment guidelines for speculative ventures. 

The next item on the agenda for informational purposes was the FY1996 Third Quarter Interim 
Financial Report . Vice President Lenhardt pointed out that the main item in the report was a 
decrease in the University's days cash-in-hand, and stated that this is most likely a result of wage 
increases being given, but that this does not signify a serious problem. The Administration is also 
projecting a slight operating deficit for June 30, 1996. Some discussion regarding the impact that 
increased costs for heating and snow removal had on this year's operating budget was held. Trustee 



-5- 



Committee on Administration and Finance 
May 29, 1996 



Andriolo also requested that Vice President Lenhardt convene a meeting of new student trustees for 
financial information orientation. 

The next item on the agenda was the Administrative Redesign Update . Vice President Lenhardt 
reported that activities are proceeding as expected and a final report is due at the end of June. The 
Trustees expressed their concern regarding the progress on this project and noted that they look 
forward to receiving the final report. 

The next item on the agenda was the Fair Share Calculations . Vice President Lenhardt reminded 
the Committee that at a previous meeting members had expressed interest in having clarifying 
information regarding these calculations determining student share and the cost of education. He 
also reported that Senator Rosenberg has put a Fair Share Program into the 1997 Legislative Package. 
The information in the Committee packets provides basic information regarding Fair Share, 
calculation methodology, and actual calculations. Vice President Lenhardt stated that currently the 
average cost of the basic University education is $12,000 per student, and the student share today is at 
about 36.1%, with Senator Rosenberg's proposed program to begin in FY1998 with 33 1/3% of the 
cost would be borne by the students. The program also calls for a formula which would be presented 
to the Senate and House. 

There being no further business to come before the Committee, the meeting adjourned at 2:30 
p.m. 




uth^ll Farrell 



Secretary to the Board of Trustees 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Monday, August 5, 1996; 3:00 p.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair O'Leary; Trustees Andriolo, Arciero, Carter, Giblin 
Haynes and Karam 

Committee Members Absent : Trustees Bogan, Fey, Hoff and Spence 

Other Trustees: Trustee Lewenberg 

University Administration : President Bulger; General Counsel Kirby; Vice President Lenhardt; 
Chancellors Scott, Penney, Cressy and Hogan; Deputy Chancellors MacCormack and Stanton; 
Vice Chancellors Page, Dars and Goodwin 

Faculty Representatives : Professors Knight, May, and Phelan 

Chair O'Leary convened the meeting at 3:12 p.m. and began by asking President Bulger to 
update the Committee on the current budget situation. President Bulger informed the 
Committee of a 7.2 % increase in state support, an $11 million fundraising incentive program for 
public higher education and $15 million for the information technology bond bill. He also 
reported that the Governor is expected to sign the Biologies Laboratory bill which will place 
the state lab under the jurisdiction of the University. 

Chair O'Leary introduced the first item for action/consent on the agenda, the Approval of 
Endowment Funds, UMASS Amherst . Vice President Lenhardt then asked Chancellor Scott to 
briefly described each fund and its purpose. 

It was then moved, seconded and 

VOTED; To recommend that the Board take the following action: 

In acceptance with section lA(e) and 11 of Chapter 75 of the General Laws to 
establish the W.S. Clark Memorial Fund at Amherst to provide for the 
maintenance and conservation of the W.S. Clark Memorial Site as more fully 
set forth in T96-088. 

And, 

VOTED: To recommend that the Board take the following action: 

In accordance with section lA(e) and 11 of Chapter 75 of the General Laws to 
establish the Ann Hassett Memorial Fund at Amherst for the purpose of 
providing a four year scholarship to an underprivileged and intellectually 
gifted student from Springfield as more fully set forth in T96-089 provided that 



Committee on Administration and Finance 
August 5, 1996 

the Chancellor is hereby delegated authority to select recipients and terminate 
assistance to recipients who fail to meet the stated criteria. 

And further, 

VOTED To recommend that the Board take the following action: 

In accordance with sections lA(e) and 11 of Chapter 75 of the General Laws to 
establish the Richard Jones Endowment Fund at Amherst to provide awards to 
undergraduates majoring in dance as more fully set forth in T96-093. 

And, 

VOTED: To recommend that the Board take the following action: 

In accordance with sections lA(e) and 11 of Chapter 75 of the General Laws to 
establish the Helen Timson Scholarship Fund at Amherst to provide 
scholarships to students within the School of Education as more fully set forth 
in T96-094. 

The next item on the agenda for discussion was the FY 1997 Budget Overview . Vice 
President Lenhardt reported on a preliminary look at the FY97 budget which will be followed 
by the final version in October. Ms. Uber, Budget Director then gave a presentation 
highlighting the FY97 budget outlook including: 

•an increase in state funding for the fifth straight year including a $25 million increase 
over the original FY96 appropriation; 

•for FY97 the impact of a tuition decrease and fee increases for in-state undergraduates 
resulted in an overall average decrease of 1% in combined tuition and mandatory fee 
rates; 

•Enrollment levels have stabilized at most campuses. The expected level of enrollments 
will affect student fee revenues and will be reflected in the Operating Budget revenue 
trends. 

Trustee Haynes congratulated the President and the Administration for the success in 
increasing the state appropriation and helping the Legislature understand the value of the 
University. There was then a question about formula funding and developing a strategy related 
to costs. Currently, the University continues to use its formula to develop the budget request. 
The formula has also played a role in the recent work by Senator Rosenberg with fair share 
funding. 

Chair O'Leary requested that peer review information be available and circulated to the 
Committee. It was also suggested that the peer institutions information and the University's 
benchmarks be kept somewhat updated to provide context on the progress being made by the 
University. 

Trustee Haynes then inquired about the status of UMASS Dartmouth's agreement relative 
to increases in state funding and student fees. Chancellor Cressy reported that the campus is on 
schedule. 



i 



r 



-2- 



Committee on Administration and Finance 
August 5, 1996 

The next item on the agenda was the FY 1997 State Budget Allocation . Vice President 
Lenhardt then reported that the allocation of the FY97 state funds will take place in two 
phases aimed at: 1) having sufficient funding early in the fiscal year for campus activities and 
2) allowing the budget allocation process to focus on campus and University goals. President 
Bulger reported that he will soon be meeting with the Chancellors to review current operations 
and campus goals. The final state appropriation allocations will be brought before the 
Committee for approval at the October meeting along with the FY97 Operating Budget. 

The next item on the agenda was the Administrative Redesign Update . Vice President 
Lenhardt then introduced Ms. Cynthia Busis and Mr. John Moriarty from Pappas Consulting 
Group to update the Committee on Phase II of the University's administrative redesign project 
completed on June 30. Mr. Moriarty and Ms. Busis first reported on the creation and 
implementation of four pilot projects to redesign aspects of the administrative process. The 
objective of these projects was to provide tangible results and benefits to the University, 
demonstrate how the redesign process could work on a larger scale, and build credibility with 
faculty, staff, trustees and external constituencies. The pilot projects focused on four service 
areas: 

• Student Services : the management of undergraduate, enrollment, admissions and financial 

aid. Result: Amherst has implemented a Voice Response System in the Financial Aid 
office, Boston has completely redesigned the office processing the flow of freshmen and 
transfer admissions through the elimination of 6 steps in the admissions process, 
Dartmouth has implemented a one-stop resource area for students and Lowell has 
established an "enrollment mentors" program utilizing over 80 staff volunteers to provide 
mentoring to first year commuter students. 

• Human Resources : recruiting and hiring. Result: All five campuses have participated in 
the redesign of personnel forms used in the hiring process. Pilot testing of these forms will 
begin in July and roll out to all departments on each campus by 12/31 /96. 

• Procurement : purchasing and accounts payable. Result: All five campuses are 
implementing a Purchasing Card for buying office supplies less than $500.00. The 
Treasurer is developing procedures for paying the vendor directly for purchases made. It 
is expected that the purchasing cards will free purchasing staff for other duties, and 
reduce delay in getting supplies into the hands of the purchaser. 

• Financial Accounting and Reporting : accuracy and timeliness of financial management 
reports. Result: All five campuses are implementing changes in processing travel 
expenses; Trustee approval of new financial policies and the President' issuance of 
guidelines for the campuses and President's Office to use in developing detailed 
procedures. 

There was then a general discussion on the Stage II report and plans for the future (Stage 
III) including measuring the outcomes of these projects, emphasis on perfecting student 
enrollment services, creating a one-step or zero-step process using technology for the student to 
complete his/her business of applying, getting a decision quickly and becoming enrolled. Chair 
O'Leary and several members of the Committee voiced their concern that the projects impact 
the students positively and the employees of the University be involved in the evaluation of 
management. Trustee Karam suggested that Stage III be delayed until all of the pilot programs 
are in place. 



-3- 



Committee on Administration and Finance 
August 5, 1996 



There being no further business, the meeting adjourned at 4:45 p.m. 

r 



(^c&M^l^V&ir 



Barbara DeVico 
Staff Assistant 



f 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Thursday, October 3, 1996; 9:00 a.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Vice Chair Fey; Trustees Andriolo, Arciero, 
Bogan, Carter, Haynes, Karam, Lewenberg 

Committee Members Absent : Trustees Croft, Flores, Foley, Hoff and O'Leary 

Other Trustees: Trustee Giblin 

University Administration : President Bulger; General Counsel Kirby; Vice President Lenhardt; 
Chancellors Scott, Penney, Cressy and Hogan; Deputy Chancellors MacCormack and Stanton; 
Vice Chancellors Page, Dars and Goodwin 

Faculty Representatives : Professor Knight 

Chair Spence convened the meeting at 9:14 a.m. and began by informing the Committee that 
future meetings would include discussion around policy issues affecting the University. 

The first part of the agenda included six items that would be considered under the Consent 
Agenda at the Board meeting. Those items include: 1) Revisions to the Investment Policy. 2) 
Lease for Chelsea Recycling Center, UMASS Lowell. 3) Lease for Submillimeter Testing Lab, 
UMASS Lowell, 4) Revisions to Self Insurance Trust Document . 5) UMASS Building Authority 
Financing , 6) Authorization for Transfer of Land to Lowell Arena Commission for Baseball 
Stadium . Vice President Lenhardt gave a brief presentation of each of these items. 

The first item Revisions to the Investment Policy had been discussed at length at the 
Investment Subcommittee held on September 12. Vice President Lenhardt asked that the 
record show that Trustee Naughton had questions about CMO's (Collateralized Mortgage 
Obligations) and that the University would refrain from investing in them until he and 
Associate Treasurer Marquis had time to review this issue further. 

The next two items were two leases brought forward by Chancellor Hogan. A Lease for 
Chelsea Recycling Center, UMASS Lowell, is authorization for more permanent space for the 
Center. The Lease for Submillimeter Testing Lab, UMASS Lowell is necessary as the Lab 
recently vacated the property to be used by the City for the baseball stadium. 

Vice President Lenhardt then discussed the next item, Revisions to Self Insurance Trust 
document. The Medical Center maintains professional liability, hospital premises liability 
and physicians' and surgeons' liability coverage for the Teaching Hospital and Group Practice 
physicians through the Self Insurance Trust Fund. The revisions will add coverage for 
activities related to the operation of a managed care organization. The activities to be added 
include peer review, utilization review, health care cost review and other similar activities. 



Committee on Administration and Finance 
October 3, 1996 

Vice President Lenhardt was then asked to explain the history of the Self Insurance Trust. 
He responded that ten years ago, the Medical Center decided it would be better financially to 
establish their own self insurance trust. The University obtained a statutory approval to 
establish this trust so that we are now self insured for all malpractice issues and general 
liability issues. The Trust funding is based on the number of claims that have been made. We 
then reserve against those claims. The Group Practice has funding for the trust which is now at 
$54 million dollars. We are reserved for 46 or 47 million, the extra money going towards 
administration and the purchase of excess coverage. 

The next item, Building Authority Financing , is the mechanism to reimburse the University 
or campus for the expenditure of local funds for planning and early development of capital 
projects in anticipation of borrowing by the UMASS Building Authority or the Commonwealth 
for those projects. 

The next item was Authorization for the University of Massachusetts Building Authority 
to Transfer Land to Lowell Arena Commission for the Baseball Stadium . Vice President 
Lenhardt explained to the Committee that the Lowell Arena Commission has asked the 
UMASS Building Authority to transfer land currently occupied by the University for the 
construction of a baseball stadium. 

It was then moved, seconded and 

VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

To approve the amendments to the Revised Investment Policy (formerly the 
Cash Management Policy), as contained in Doc. T92-031, (Appendix F, as 
amended). 



And, 

VOTED : 



To recommend that the Board take the following action on the Board Consent 
Agenda: 

To authorize the Chancellor of the Lowell campus, with the approval of the 
Division of Capital Planning and Operations, to lease for up to five years space 
not to exceed 1,500 net square feet of office space in the city of Chelsea for the 
use of the Chelsea Recycling Center. 



And further, 
VOTED : 



To recommend that the Board take the following action on the Board Consent 
Agenda: 

To authorize the Chancellor of the Lowell campus, with the approval of the 
Division of Capital Planning and Operations, to lease for five years 
approximately 15,562 square feet of office space and sixty parking spaces at 175 
Cabot Street in Lowell for the use of the Submillimeter Testing Laboratory. 



Committee on Administration and Finance 
October 3, 1996 



And, 



VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

To approve the following amendments to the Self Insurance Program (Doc. 
T93-126) and to authorize the Secretary of the Board to execute an amended 
document with these changes: 

Add a new clause (f) to Section II. Exclusions, of Part 1 Professional Liability 
which states as follows: 

(f) As respects the furnishing of Professional Services in the operation of a 
managed care organization as stated in the definition of Professional Services: 

(i) To the willful violation of a statute, ordinance or regulation committed 
by or with the knowledge or consent of an Insured; 

(ii) To any criminal, dishonest, malicious acts, errors or omissions, or those 
of a knowingly wrongful nature committed by or at the direction of an 
Insured; 

(iii) To any payment obligations assumed by the Insured as a carrier, 
insurer, reinsurer, or third party payor; 

(iv) To the violation or alleged violation of the Securities Act of 1933, as 
amended, or the Securities Exchange Act of 1934, as amended, or any state 
Blue Sky or securities law or similar state or federal statute and any 
regulation or order issued pursuant to any of the foregoing statutes, or any 
actual or alleged violation of the Racketeer Influenced and Corrupt 
Organizations Act, 18 USC Section 1961 et seq, and any amendments, or any 
rules or regulations promulgated; 

(v) To any action or proceeding brought by or on behalf of any federal, state 
or local government regulatory agency or administrative agency, whether 
such action or proceeding is brought in the name of such agency, or by or on 
behalf of such agency in the name of any other individual or entity. 

(vi) To liability arising from any responsibilities, obligations or duties 
imposed upon fiduciaries by the Employee Retirement Income Security Act 
of 1974 or similar provisions by any federal, state, or local statute or 
common law, or any amendments thereto, or any rules or regulations 
promulgated thereunder. 

Strike the current clause (e) and replace it with the following new clause 
(e):- 

(e) Any person not covered under paragraphs (a) through (d) above who at the 
express direction or request of the Named Indemnitee, renders the following 
Professional Services: 

Service as a member of or as a participant in a formal medical accreditation, 
quality assurance, peer review or similar medical professional board or 



Committee on Administration and Finance 
October 3, 1996 



And further, 



committee of the Named Indemnitee, or as a person charged with the duty of 
executing directives from: 

1. any such board, committee or society, or 

2. any hospital management board or any successor body or its committees and 
any committee of the Named Indemnitee whether advisory or managing; or 

Peer review, utilization review, healthcare cost review, or any other similar 
activity connected with the ownership, management of or in connection with 
providing Professional Services in the operation of a managed care 
organization as stated in the definition of Professional Services. 

Add a new clause (3) as follows:- 

(3) Any professional services in the operation of a managed care organization, 
including, but not limited to: 

(a) utilization review activities, being the process of evaluating the 
appropriateness or necessity of proposed or already performed professional 
services of a medical nature, or the reasonableness of the proposed or 
already incurred costs of such services, for the purpose of determining 
whether such services or costs will be approved by the Insured, regardless 
of whether such evaluation is done prospectively, concurrently or 
retrospectively; and, 

(b) any of the following services or activities performed or provided by any 
Insured for or on behalf of a Named Insured: quality assessment or cost 
review in respect of professional services of a medical nature; designing 
managed health care plans, appointment and reappointment, 
credentialling, and delineation of clinical privileges for managed health 
care plans; performing underwriting and risk selection functions for 
managed health care plans; quoting or classifying risks for managed health 
care plans; selling insurance under a managed health care plan; processing 
applications for managed health care plans; enrollment processing for 
managed health care plans; billing and collecting premiums for managed 
health care plans; issuing policies or certificates of insurance for managed 
health care plans; determining eligibility for coverage under managed 
health care plans; adjusting, investigating or handling claims for benefits 
or coverages under managed health care plans; marketing managed health 
care plans; selecting or contracting with health care providers; reimbursing 
or paying health care providers: actuarial services for managed health 
care plans; data processing services for managed health care plans; 
recovery subrogation services in respect of managed health care plans; risk 
management and loss control operations solely with respect to managed 
health care plans: and other services or activities customarily and 
ordinarily performed with respect to the management, administration or 
operation of managed health care plans. 



■4- 



Committee on Administration and Finance 
October 3, 1996 



VOTED : 



And, 

VOTED : 



To recommend that the Board take the following action on the Board Consent 
Agenda: 

WHEREAS, the University of Massachusetts (the "University") intends (i) 
that the projects described in Attachment I to this Vote (the "Projects") be 
undertaken, (ii) that all or a portion of the costs of the Projects be financed 
through the issuance of tax-exempt bonds by the University of Massachusetts 
Building Authority (the "Authority Bonds") and The Commonwealth of 
Massachusetts (the "Commonwealth Bonds") and (iii) that there shall be 
reimbursed from proceeds of the Authority Bonds and the Commonwealth 
Bonds (collectively, the "Bonds") certain expenditures for the Projects made 
prior to the issuance of the Bonds; 

NOW, THEREFORE, BE IT .RESOLVED that the University declare and it 
hereby declares its official intent under Section 1.150-2(d)(l) and (e) of the 
Treasury Regulations as follows: 

The University reasonably expects that there shall be reimbursed from the 
proceeds of Authority Bonds and Commonwealth Bonds, expenditures 
(including expenditures made within the last 60 days) temporarily advanced 
for the Projects by the University, the maximum principal amount of Authority 
Bonds expected to be issued, all or a portion of the proceeds of which are 
reasonably expected to be used for such reimbursement purposes, being 
$120,000,000, and the maximum principal amount of Commonwealth Bonds, all 
or a portion of the proceeds of which are reasonably expected to be used for such 
reimbursement purposes, being $120,000,000. 



To recommend that the Board take the following action on the Board Consent 
Agenda: 

BE IT RESOLVED: 



WHEREAS, pursuant to St. 1991, c. 142, S33, the rights, powers, duties, and 
properties of the board of trustees of the University of Lowell shall be 
exercised, performed and held by the board of trustees of the University of 
Massachusetts ("the Board"); and 

WHEREAS, pursuant to St. 1995, c. 267, S22, all real and personal property and 
all duly existing contracts, leases and obligations of the University of Lowell 
Building Authority were transferred to the University of Massachusetts 
Building Authority ("the Authority"); and 

WHEREAS, Section 10.2 of the Restated Contract for State Financial 
Assistance and Services dated as of September 1, 1976 between the 
Commonwealth of Massachusetts, acting by and through the Board of Trustees 
of the University of Lowell, and the University of Lowell Building Authority, 
as supplemented ("the Contract"), provides that the Authority shall not, 
without the written approval of the Board, assign, mortgage, pledge, or 
otherwise encumber any project, or any part thereof, or any properties used in 
connection therewith; and 



Committee on Administration and Finance 
October 3, 1996 



WHEREAS, the Authority is the owner of land located at 450 Aiken Street in 

Lowell, Massachusetts, as evidenced by Certificate of Title No. 13373, and _. 

shown as Lots 1 and 2 on subdivision plan 26607 B, filed with Certificate of 

Title No. 10248, and bounded and described as follows: 

Southeasterly by the northwesterly line of Aiken Street, two hundred twenty- 
nine and 98/100 (229.98) feet; 

Southeasterly by the northwesterly line forming the junction of said Aiken 
Street and Pawtucket Street, one hundred five and 94/100 (105.94) feet; 

Southerly by the northerly line of said Pawtucket Street, three hundred forty- 
one and 2/100 (341.02) feet; 

Westerly by land now or formerly of Jacob Swartz et al, three hundred fifty- 
seven and 90/100 (357.90) feet; 

Northwesterly by said Swartz et al land and by land now or formerly of the 
Proprietors of the Locks and Canals on Merrimack River, three hundred fifty- 
five and 24/100 (355.24) feet; and 

Northeasterly by said land of the Proprietors of the Locks and Canals on 
Merrimack River, five hundred twelve and 37/100 (512.37) feet; and 

WHEREAS, the acquisition of the land and the buildings thereon (collectively, 
"the Property") and the improvement of the Property were part of a project 
financed by Lowell Technological Institute Building Authority Facilities 
Bonds, First Series; and m 

WHEREAS, by lease dated as of November 1, 1968, and amended October 29, 
1971, the Authority leased the Property to the Lowell Technological Institute 
Research Foundation, now the University of Massachusetts-Lowell Research 
Foundation ("the Research Foundation"); and 

WHEREAS, the Lowell Arena Commission, a commission established by the 
City of Lowell pursuant to St. 1994, c.325, wishes to acquire the Property; and 

WHEREAS, the Authority and the Research Foundation wish to terminate the 
lease of the Property; and 

WHEREAS, the Board acknowledges that the termination of the lease of the 
Property and the rent payable to the Authority as lessor of the Property will 
not substantially affect the Authority's Net Revenues (as defined in the 
Contract): and 

WHEREAS, the Authority desires to convey the Property to the Lowell Arena 
Commission for nominal consideration; 

NOW THEREFORE, the Board 

1. Approves the termination of the lease of the Property between the 

Authority and the Research Foundation, and 



2. Approves the conveyance oi the Property bv the Authority to the Lowell 
Arena Commission. 



-6- 



t 



Committee on Administration and Finance 
October 3, 1996 



The next item on the agenda was FY 1997 State Appropriation Allocation . Vice President 
Lenhardt informed the Committee that this is the fifth year the Board has been authorized to 
confirm the President's allocations of state appropriations to the five campuses. President 
Bulger explained that the budget went through a two-stage process to allocate an increase of 
$25 million over the original FY1996 state appropriation. The first phase provided a base of 
funding for each campus. These allocations incorporated FY1996 state appropriation levels 
plus additional funds to meet wage increase costs in FY1997. 

The second phase was completed in September following a series of budget meetings with 
each Chancellor. The discussions focused on review of current campus operations, including 
efforts to restructure, campus goals and outcomes and the need for new funding for special areas. 
Each campus received at least a 6% increase. A commitment was made to provide support for 
the opening of the Marine Science Laboratory at UMASS Dartmouth. The Chancellors then 
updated the Committee with some of the plans for the additional funds: at UMASS Boston, the 
funds will help scholarship aid, at UMASS Amherst there will be an increase in priority 
programs, UMASS Dartmouth will be purchasing micro computers and furnishings for the 
library and communications center, at UMASS Lowell the funds will be used for the campus 
"Spruce Up Project" . 

Chair Spence requested that the infrastructure issue stay on the front burner and that this 
Committee receive regular reports on the status of capital expenditures. Vice President 
Lenhardt pointed out that approximately $42 million dollars is projected to be spent on 
infrastructure improvements in FY1997. That number will go up once the capital plan is in 
place. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action 

To approve the following FY 1997 state appropriation allocations: 

Amherst $180,172,483 

Boston $66,015,014 

Dartmouth $36,703,467 

Lowell $56,926,553 

Worcester $28,908,139 

Donahue Institute for Governmental Services* $758,403 

University Health and Welfare Fund** $2,621,570 

President' Reserve $207,490 

TOTAL $372,313,119 

* Includes UMASS Economic Project. 
**Reserve for state employee dental insurance. 



-7- 



Committee on Administration and Finance 
October 3, 1996 

Further, to authorize the President to make adjustments to the campus allocations 

for support of the President's Office and Central Administrative Services, to be *■»■ 

reflected in the final allocation schedule submitted to the state. 

The next item was the FY1997 Operating Budget . Vice President Lenhardt explained that this 
is the culmination of a five month process. He further noted that the budget projects an overall $35 
million dollar deficit for FY1997, about 2 1/2 percent of our operations, $30 million of that is at the 
Medical Center due to some elaborate accounting changes relating to the clinical system. 

Chair Karam then requested that the Administration provide a report explaining in greater 
detail the deficit issue and fund accounting. He also discussed the need for a policy in the next 
couple of years that would prohibit the campuses from operating under a deficit situation. Vice 
President Lenhardt explained that these issues would be addressed further in the 
November/ December cycle. Trustee Haynes guggested that we not inhibit the campuses plans with 
a firm "no-deficit" policy. It was also suggested that the University present the financial situation 
in a more understandable fashion for the public. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action: 

To approve the FY 1997 Operating Budget for the Amherst, Boston, Dartmouth, 
Lowell, and Worcester campuses, the System Administration, and the Maurice 
Donahue Institute for Governmental Services, as contained in Doc. T96-081. 

The next item on the agenda was the FY1998 State Budget Request Guidelines . Vice President 
Lenhardt reported that the University is required to submit its FY1998 budget request to the Board 
of Higher Education. The proposed set of guidelines will be used to develop the budget request and f 

is based on the University's funding formula, the program, mission and structure of the campuses. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the Budget Request Guidelines (Doc. T96-102), which will be 
utilized in developing a request to the state for support in the next fiscal year. 

And further, 

To authorize the President to prepare and submit the FY 1998 State Appropriation 
request using approved Budget Request Guidelines. 

The next item was the FY 1996 Treasurer's Report . Vice Lenhardt reported that the University 
had a very good year, returning more than $15 million dollars to the campuses for operations from 
investment strategies. 

Chair Spence then gave a report of the Investment Subcommittee which had recommended 
approval of the Treasurer's report. She spoke of the University's fund managers and noted that 
there had been a discussion of portfolio performance and that the Committee expects the 
investment performance could be improved in a year's time. It was moved, seconded and 



- 



-8- 



Committee on Administration and Finance 
October 3, 1996 



VOTED : To recommend that the Board take the following action: 

To accept the FY 1996 Treasurer's Investment Report as contained in Doc. T96-103. 
There being no further business, the meeting adjourned at 10:05 p.m. 




Barbara DeVico 
Staff Assistant 



ih vi«j 



-9- 



* 



UNIVERSITY OF MASSACHUSETTS 

(revised 1/21/97) 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Thursday, November 21, 1996; 9:00 a.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Trustees Arciero, Bogan, Carter, Croft, Flores, 
Foley, Giblin, Karam, Lewenberg, Mihos, Naughton and O'Leary 

Committee Members Absent : Trustees Andriolo, Fey, Haynes, and Hoff 

University Administration : President Bulger (arrived late); General Counsel Kirby; Vice 
President Lenhardt; Ms. Wanczyk, University Controller; Chancellors Scott, Cressy and Hogan; 
Deputy Chancellors MacCormack and Stanton; Vice Chancellors Page, Dars and Goodwin; Mr. 
Lapidas, Director of Network Affiliations/Managed Care 

Faculty Representatives : Professors Knight, Singh and Phelan 

Chair Spence convened the meeting at 9:10 a.m. and began by indicating that President 
Bulger would be late due to a prior commitment in Worcester. She then introduced Mr. Christy 
Mihos, the newest member of the Board and Committee. 

Chair Spence also announced that the FY1996 Financial Report would be voted on by the 
Audit Committee and the FY 1996 Financial Statement Presentation would be discussed by this 
Committee. She further reported that a new item had been added to the agenda, the Naming 
of the Residence Dining Hall at UMASS Dartmouth. 

Also, as part of the Committee's intent to focus on a policy issue at every meeting it was 
suggested that the Committee discuss financial indicators. Chair Karam suggested that the 
campuses come up with four or five critical areas of improvement including targets for those 
areas. 

The first item on the agenda was the amendments to the University Procurement Policy and 
the Consultant Services Policy . Vice President Lenhardt reported that these amendments will 
raise bid limits to appropriate contemporary levels. The Purchasing Policy would increase the 
limit for purchases of supplies and other property without advertising and competitive bids 
from the current level of $2,000 to $5,000 and establish a $10,000 limit for the purpose of any 
labor and materials construction project. 

The Consultant Services policy would be modified to increase the limit for professional 
service contracts from the current $25,000 to $50,000. There was a general discussion about the 
need for the Committee to know on an on-going basis the status of large consultant contracts, 
possibly on a quarterly basis. 

It was moved, seconded and 



Committee on Administration and Finance 
November 21, 1996 

VOTED : To recommend that the Board take the following action: ^ 

To approve the amendments to the Purchasing Policy, as contained in Doc. T92- 
031 (Appendix A, as revised) and to the Consultant Services Policy, as 
contained in Doc. T92-031 (Appendix D, as revised). 

The next item was the University Tuition Waiver Policy . Vice President Lenhardt 
reported that this policy brings the University into compliance with state statute and Board of 
Higher Education policy. General Counsel Kirby confirmed that the policy removes campus 
flexibility to provide tuition waivers based on talent or athletic ability. Waivers will be 
purely need-based except for categories established by legislation or the BHE. It was suggested 
that the Committee table this motion to give the University an opportunity to make a 
presentation before the BHE on the reasons why certain other categories of tuition waivers are 
still needed. Because the University needs to be in compliance with state laws the Committee 
agreed to recommend the action with an amendment noting its support for other waivers. The 
motion was amended with the Committee's intention. 

It was then moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the Tuition Waiver Policy subject to any discussion required by law 
for employees covered by collective bargaining. This policy shall supersede 
and rescind all other policies in the University which are inconsistent 
herewith including (but not limited to) Doc. T83-098; provided however, that 
the Board of Trustees expresses its intention to support the requests for new 
categorical waivers including waivers for students with special talents. 

The next item was Endowed Professorships, UMASS Amherst . Chancellor Scott reported of 
the request to name the Joseph Flavin Professorship of Entrepreneurship in the School of 
Management which was established by John P. Ravin with an annual cash commitment of 
$100,000 to be made for a minimum of five years. There was also a request to name the Leonard 
J. Horowitz Professorship in Latin American Politics and Studies in the College of Social and 
Behavioral Studies which will be established with a cash gift of $450,000 from Mr. 
Horowitz's estate with an additional $300,000 to be added by the end of 1996. 

Chancellor Scott then reported on the Request to Name the Polymer Morphology Lab the 
W.M. Keck Electron Microscopy Laboratory. UMASS Amherst . The lab is located in the Silvio 
Conte National Center for Polymer Research and was made possible through an award of 
$550,000 by the W. M. Keck Foundation for the purpose of a state of the art electron microscope. 

The next item was the A pproval of the Mullins Center Capital Projects, UMASS Amherst . 
Chancellor Scott reported that the campus is requesting the use of a portion of the funds 
remaining in the Mullins Construction Fund to complete health and safety and improvement 
projects. A vote is needed to instruct the Building Authority to carry out these projects. 

It was moved, seconded and 



t 



Committee on Administration and Finance 
November 21, 1996 



VOTED : To recommend that the Board take the following action: 

To approve the establishment of the following endowments: 
•Establishment of the Joseph P. Ravin Professor of Entrepreneurship 

•Establishment of the Leonard J. Horowitz Professorship in Latin American 
Politics and Studies 



And, 

VOTED : 



And further, 
VOTED: 



To recommend that the Board take the following action: 

To name the Polymer Morphology Lab at the Amherst campus the W. M. Keck 
Electron Microscopy Laboratory . 



To recommend that the Board take the following action: 

WHEREAS The University of Massachusetts Building Authority (The " 
Authority") is authorized by Chapter 773 of the Acts of I960, as amended, 
among other things, to provide dormitories, dining commons and other buildings 
and structures for the use of the University of Massachusetts (the 
"University"), its students, staff and their dependents and certain 
organizations related to the University, to alter, enlarge reconstruct, remodel 
and do other work in or upon or respecting any building or structure, to provide 
and install furnishings, furniture, machinery, equipment and facilities in or for 
or related to any such building or structure and to initiate projects for such 
purposes upon written request made by authority of the Board of Trustees (the 
"Trustees") of the University and upon written approval from the 
Commissioner of Administration; and 

WHEREAS the Authority has previously issued its $23,855,278.85 Project 
Revenue Bonds, Series 1988-A (the "Bonds") for the purpose, among others, of 
financing a portion of the costs of constructing the William D. Mullins 
Memorial Center (the "Mullins Center") at the Amherst campus of the 
University; and 

WHEREAS approximately $2,000,000 of the proceeds of the Bonds are 
available to be applied to the purposes for which the Bonds were issued, 
which include further work on the Mullins Center; and 

WHEREAS in the judgment of the Trustees it is in the best interests of the 
University, its students, staff and their dependents and said organizations that 
the Authority initiate the projects described below; 



Committee on Administration and Finance 
November 21, 1996 



NOW THEREFORE BE IT RESOLVED THAT 

The President of the University be and he hereby is authorized in the name and 
on behalf of the Trustees to make a written request of the Authority that the 
Authority initiate the following five projects with respect to the Mullins 
Center as more fully described in the attached letter from Chancellor David 
Scott dated November 6, 1996: 

Installation of Heat Trace Roof Downspouts 
Installation of Ladders and Walk Pads for Ice Rink Roof 
Installation of Fall Protection Rigging Equipment 
Upgrade of Electrical Centrifugal Chiller 
Enhancement of Dehumidification System for Ice Rink 

The President of the University and all other officers of the University be and 
they are and each acting singly is authorized and directed to request the 
Commissioner of Administration to approve in writing the undertaking by the 
Authority of the projects a request for which is hereby authorized and to do 
such other things and to take such other action as to the officer or officers so 
acting shall, as conclusively evidenced by their taking the action hereby 
authorized, deem necessary or desirable to be done or taken to carry into effect 
the matters hereby authorized. 

The next item was Naming of the Residence Dining Hall, UMASS Dartmouth . Chair 
Karam reported that former Governor Endicott Peabody had been a big supporter of higher 
education in the 1960's and was a major beneficiary for the Dartmouth campus. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To name the Residence Dining Hall on the Dartmouth campus in honor of former 
Governor Endicott Peabody. (Doc. T96-139) 

The next item was the A pproval of the Principles of Employee Conduct . Vice President 
Lenhardt reported that the Administrative Redesign Project discussions over the last year 
made it apparent that the University needed to formally adopt a code of employee principles 
as more responsibility is delegated to our employees. The intent is to outline the expectations 
the University has of its employees as well as the goals and responsibilities of the University. 
Vice President Lenhardt then pointed out that an amended version of this policy had been 
distributed around the table. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the Principles of Employee Conduct as contained in Doc. T96-136, as 
amended subject to any discussions required by law for employees covered by 
collective bargaining agreements. 



r 



€ 



-4- 



Committee on Administration and Finance 
November 21, 1996 



The next two items were Establishm ent of Biologies Laborator y Trust Fund and 
Authorization to Exe cute Biologies Laboratory Contract with Department of Publ ic Health . 
Vice President Lenhardt and Deputy Chancellor Stanton reported that legislation requires 
that the Biologies Labs facilities under the control of the Department of Public Health be 
transferred to the University. The legislation also provides that the University shall 
maintain a separate account for the labs for its revenues and expenditures. The action today 
will establish a separate trust fund for the labs and will permit the Chancellor to waive the 
application of regular University policies if needed, during the transition period. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To establish, in accordance with the provisions of subsection (g) of section 43 of 
chapter 75 of the General Laws, the University of Massachusetts Biologic 
Laboratories Trust Fund at the Worcester campus to support the research, 
development and production of vaccines and other biologic products, including 
agreements with private parties in accordance with subsection (d) of said 
section 43, and related training in those processes, previously performed by the 
Department of Public Health for the benefit of the citizens of the 
Commonwealth who benefit from its programs supporting childhood 
immunization, orphan products, and the public health. Expenditures from the 
Fund shall pay for the cost of the operations, management and activities of the 
Laboratory and related support provided by the Medical Center and the 
University. 

The Laboratory shall give an absolute preference to the research, development 
and production of those biologic products which relate to childhood diseases. 

The Trust shall be assessed by the Office of the President for administrative 
services. The rate of that assessment and the rate of any other indirect or 
overhead charge to be made against the Trust fund shall not exceed 10% unless 
approved by the Advisory Board established by section 43 of the General Laws. 

Further, to authorize spending from such Trust Fund in Fiscal Year 1997 not to 
exceed the revenues received by the Fund in that year. Annual budgets shall be 
required for each fiscal year thereafter. 

And Further, to authorize the Chancellor to waive the application of any 
University policy applicable to the operation of such Trust Fund (except for the 
Intellectual Property Policy and the Policy on Conflicts of Interest Relating to 
Intellectual Property and Commercial Ventures at UMASS Worcester) during 
Fiscal Year 1997 which he deems necessary to ensure a smooth transition of the 
State Biologies Laboratory from the Department of Public Health to the 
University. No such waiver shall extend beyond Fiscal Year 1997 and all 
University policy shall apply as of July 1, 1997 and thereafter. 

And further 



) 



Committee on Administration and Finance 
November 21, 1996 



VOTED : To recommend that the Board take the following action: 

To authorize the President to take all actions and execute all documents 
including the agreement(s) with the department of Public Health that he 
deems necessary to accomplish the transfer to and establishment of the 
Biologies Laboratories at the University. 

With the arrival of President Bulger the next item on the agenda was Consideration of a 
Tuition Reduction . President Bulger then reported that it is his intention to make the 
University as financially accessible as possible, which would be consistent with the dialogue 
on this topic currently taking place across the state. It is expected that a 5% tuition reduction in 
in-state undergraduate charges will be reflected in the tuition and fee rates at or before the 
April Board meeting. 

Trustee Carter expressed his support for the President's proposal to cut tuition costs but 
urged the Board to remember that tuition is less than half of the total cost of attending the 
University. President Bulger said he had discussed with each of the Chancellors the 
importance of keeping student fees stable. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

In accordance with Section 1A of Chapter 75 with Section 9 (i) of Chapter 15A 
of the General Laws, to authorize and direct the President to recommend 
specific student charges for Academic Year 1997-98 at or before the April Board 
meeting, provided, however, that such recommendation shall provide for an 
average overall 5% reduction in in-state undergraduate tuition rates across the 
campuses. 

The next item on the agenda was the 1996 Financial Statement Presentation . Ms. Wanczyk 
made a presentation which reflected the University's balance sheet and statement of 
operations for the previous fiscal year. The primary focus of the report was the fiscal 
performance in the context of the financial indicators that were developed two years ago. 

Following the presentation Chair Spence thanked Ms. Wanczyk for the clarity of the 
report. Chair Karam requested that the Board continue to be updated with the status of the 
financial indicator targets. 

The next item was the University Health Care Report presented by Trustee Foley and Mr. 
Lapidas, Director of Network Affiliations/ Managed Care. Trustee Foley reported that the Ad 
Hoc Health Care Committee had been appointed to participate in an in-depth study of the 
five campus student health service programs. The report presented to the Committee 
summarized the results of the study, identified some "best practices" for adoption and outlined 
steps that can be taken to create a more consistent and cost effective program among all the 
campuses. Dr. Foley then thanked each member of the Ad Hoc Committee for their help with 
this project over the past year. 

Mr. Lapidas then gave an overview of student health services on each of the campuses 
including the number of visits, budgets, program variations, total amount of money spent on 
supplemental insurance, student premium comparisons, and ranges of potential savings. 



♦ 



Committee on Administration and Finance 
November 21, 1996 

It was further reported that as a result of this study the following opportunities for savings 
or improvements in service were identified: 

• reduced premium rates for supplemental insurance for students by 
consolidating a five campus product; 

•Health Insurance for recent graduates and alumni who have no insurance by 

utilizing the supplemental insurance package; 
•Lower cost health insurance options for university and other state 

employees by utilizing the UMASS Health System and affiliate network; 

• Provision of student health services to other colleges and universities by 

utilizing the UMASS Student Health Services network and the UMASS 
Health System and affiliate network. 

Chair Spence and the Committee members then commended Trustee Foley and the members 
of the Ad Hoc Committee on the work done on this report and discussed the proper way to 
proceed and the potential cost to implement these recommendations. It was suggested that the 
Chancellors take time to reflect on these recommendations and report back to the Committee 
the best way to proceed. 

There was also an informational item, FY 1997 First Quarter Interim Financial Report . 

The meeting adjourned at 11:00 a.m. 



faaniai^d , /M^ 



Barbara F. DeVico 
Staff Assistant 



-7- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
DEVELOPMENT COMMITTEE 

Monday, June 3, 1996; 3:00 p.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Hoff; Trustees Karam, Kraft, and Naughton; Ms. Farrell, 
Secretary to the Board 

University Administration : President Bulger; General Counsel and Vice President Kirby; Executive 
Vice President Jim Julian 

Chair Hoff convened the meeting at 3:15 p.m. He reviewed the agenda, the first item being the 
discussion of the Role of the Committee . This discussion reflected the Committee's role as a source 
for leadership in fundraising, beginning with creating the culture and environment for fundraising to 
be successful at UMASS. 

The next item on the agenda for discussion was Fundraising Strateg ies. This discussion 
consisted of the Committee's interest in reviewing lists that have been maintained in the development 
offices for purposes of identifying potential donors and developing a strategy for the University as a 
whole. They further discussed reviewing information regarding individuals and employers in the 
state who might make donations to the University. The Committee also discussed the issue of a 
coordinated fundraising and development effort for the University system, and the potential for 
realizing an increase in gifts by working as a system. The Committee asked for information from 
another system that might have a comparable organizational structure. 

The Committee then discussed item three on the agenda, the UMASS Foundation . Some of the 
Committee members and University administration have had initial discussions regarding changes 
for the Foundation Board, in particular making that board the driving force for fundraising. 

The next item for discussion was Joint Ventures which Chair Hoff and President Bulger 
suggested be postponed for the future. 

The next item on the agenda was Fundraising Event, September, 1996 . Discussion regarding the 
possibility of having such an event was held. Chair Hoff asked that Committee members consider 
some of the issues, such as when it might be held (not before mid-November, 1996), where it would 
be held, and what the theme of such an event might be. 

There being no further business to come before the Committee, the meeting adjourned at 5:20 
p.m. 



Elizabeth H. Tuthill Farrell 
Secretary to the Board of Trustees 



r 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • B O STON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
DEVELOPMENT COMMITTEE 

Wednesday, August 7, 1996; 7:45 a.m. 

Hamilton Room 

Sheraton Inn Lowell 

Lowell, Massachusetts 

Committee and Committee Staff : Chair Hoff; Trustees Karam, Kraft and Naughton 

Committee Members Absent : Trustee Croft 

University Administration : President Bulger; Executive Vice President Julian; Vice President and 
General Counsel Kirby 

Chair Hoff convened the meeting at 7:45 a.m. There was a discussion of a fundraising event for the 
University System during the next year. Several possibilities were discussed. Chair Hoff asked 
members to consider those possibilities discussed and to report back to him prior to the August 16 
meeting of the Development officers. A final decision on a fundraising event will be made by August 21, 
1996. 

Chair Hoff informed the Committee that the Lowell campus had recently hired a new 
Development Officer who will begin within the next several weeks. This appointment means that 
each campus has a Development Officer on board except for the Dartmouth campus and Chair Hoff 
will discuss such a position for Dartmouth with Chancellor Cressy. 

There was a discussion among members concerning the best structure for fundraising for the 
University including the Development Offices and the Foundation. There was wide agreement that 
major corporate and individual donors should not be contacted by each of the campuses but a coordinated 
effort for all five campuses must occur. Vice President Julian reported that he had attended several 
regular meetings of the Chief Development Officers on campus and that he will continue to participate 
in those meetings. General Counsel Kirby provided a summary of the current Foundation structure and 
the members discussed possible modifications. 

The members discussed the qualities needed in an Executive Director for the Foundation and agreed 
that the President would review job descriptions at other universities and select the best qualities 
necessary for the University. 

The meeting adjourned at 9:05 a.m. 





A. Kirby 
President and General Counsel 



r 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
DEVELOPMENT COMMITTEE 

Thursday, September 12, 1996; 11:00 a.m. 

Knapp Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Hoff; Trustees Croft, Fey, Foley, Kraft and Naughton 

University Administration : President Bulger; Executive Vice President Julian; Vice President and 
General Counsel Kirby 

Guests : Peter Nessen 

Chair Hoff convened the meeting at 11:10 a.m. He began by introducing Peter Nessen, former 
Secretary of Administration and Finance for the Commonwealth, who has been involved in fundraising 
for Harvard Medical School. Mr. Nessen provided a presentation to the Committee on fundraising, 
including his view that the University should match its needs with the publics knowledge about the 
University. He explained that he used a "prospectus" for Harvard Medical School to explain exactly 
what they were doing, and to ask the public to "invest in specific projects at the Medical School." He 
also indicated his belief in raising unrestricted funds, rather than endowment funds. There was 
extensive discussion with Mr. Nessen, including the possibility of adding $1 to every ticket for 
university events to be used for the University endowment, and discussions concerning the University's 
role as a leader in the Massachusetts community. Following extensive discussion, Mr. Nessen departed 
the meeting at 12:30 p.m. 

Chair Hoff asked Committee members if there were any questions concerning the draft materials on 
the structure of the University of Massachusetts Foundation. After some discussion, the Committee 
agreed that the President should forward the proposed changes to the Chancellors for review and 
comment, with the understanding that the full Development Committee supported the proposed 
changes. 

Chair Hoff asked for a status report on the search for an Executive Director which Vice President 
Julian provided. There was some discussion about the use of a Search Firm for the position and it was 
determined that the search should be completed expeditiously and that Vice President Julian would 
report back to the Committee. 

Chair Hoff noted that the Committee must come to a conclusion on the issue of a Five-Campus 
fundraising event for the Spring that would be linked to the President's investiture. After some 
discussion, it was decided that a Spring dinner in Boston at the end of April or the beginning of May 
should be planned as soon as possible. 

There being no further business to come before the Committee, the meeting adjourned at 1:20 p.m. 




resident and General Counsel 



I 






♦ 



' 



I 



I 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ATHLETICS 

Wednesday, April 3, 1996; 12:30 p.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Bogan; Trustees Andriolo, Karam, Lewenberg; Ms. Farrell, 
Assistant Vice President for Board Relations 

Committee Members Absent : Trustees Foley and O'Leary 

Other Trustees : Trustee Giblin 

University Administration : President Bulger; General Counsel Kirby; Chancellors Cressy, Hogan 
and Scott; Athletic Directors Dowd, Marcum, Skinner and Titus; Vice President Lenhardt; Mr. 
Wolcott, University Auditor 

Chair Bogan convened the meeting at 12:35 p.m. He began by offering congratulations to the 
Men's Basketball team at UMASS Amherst on their outstanding season and first appearance at the 
NCAA Final Four tournament. UMASS Amherst Athletic Director Marcum then spoke to the various 
awards received by both Coach John Calipari and player Marcus Camby, the benefit of the national 
media attention, and praise that members of the media had for the conduct of team members. Mr. 
Marcum indicated that all information regarding financial settlements from the year would be 
available after the A10 Conference meets in May, while financial returns from the NCAA tournament 
would not be available until spring, 1997. 

Committee members also offered their congratulations and recognition to the Lowell Ice Hockey 
program, which very nearly qualified for the final four tournament. The hockey team finished yet 
another very successful year. 

Chair Bogan then turned to the first item on the agenda, NCAA Convention Review . Chair 
Bogan referred to a review of the convention sent to him by Chancellor Scott, which he will have 
forwarded to the Committee. Chancellor Scott then made comments on two major items taken up at 
the convention: restructuring of NCAA governance and the new academic eligibility requirements. 
Mr. Marcum offered further detailed information regarding the restructuring, which will ultimately 
mean greater autonomy for Division I institutions. Regarding the vote to amend academic eligibility 
requirements to be instituted August 1, 1996 (Proposition 19), Chancellor Scott informed the 
Committee that the campus had cast its vote in favor of greater flexibility in admissions standards 
and requirements which more closely resemble the University's general admissions policy; the 
Proposition did not pass. 

The next item on the agenda was Campus Allocations for Title IX . Chair Bogan turned to Vice 
President Lenhardt for the overall review of the capital request. Vice President Lenhardt reminded 
the Committee that the University had submitted a total of $9.3 million in requests for Title IX 
projects, which was converted into a legislative authorization request and passed as part of the total 
higher education bond authorization bill. The state subsequently established a spending cap for the 
capital monies allotted to the University and the higher education system, and it is the University's 
obligation to determine how the funds will be spent with Title IX requests folded in to the total plan. 



Each campus is revising its plans in keeping with the cap, and Vice President Lenhardt indicated that 
the campuses have kept the original list of Title IX projects in their plans. Some discussion regarding 
the commitment of the University to Title IX was held, and possible activities of the Trustees in 
making the case for a separate allocation of the $9.3 million. The Chancellors and Athletic Directors 
each spoke to the imperative for these funds in improving the facilities for women athletes on the 
campuses and the associated impact on recruitment of athletes. There was also discussion regarding 
the legal issues surrounding Title IX compliance and the worthiness of the projects apart from the 
main capital projects based on the legal aspects. The Athletic Directors addressed the Committee 
noting frustration of students and concerns regarding the athletic programs which had received 
promises of improvements. Vice President Lenhardt reported that the delegation of authority to 
UMASS from DCPO is limited to non-construction related items or construction items under 
$200,000. President Bulger said that he would address the Title IX capital issue. 

The next item on the agenda was the Audit Reports-NCAA Compliance, UMASS Amherst . 
University Director of Auditing David Wolcott provided some background information regarding the 
NCAA regulations for audits, and the audit departments agreed-upon procedures with the athletic 
department. This audit is done annually and has been taking place since 1987. Coopers & Lybrand, 
the University's outside audit firm, had no reportable conditions and Mr. Wolcott said that all were 
satisfied with the results. Mr. Marcum then spoke to the certification process that the campus is now 
undergoing which is required by the NCAA; initial self studies from this will be available in August 
1996, with a review team on campus in the fall. This peer review committee will make certain 
recommendations which the campus will review. 

The Committee then briefly discussed the marketing programs at the University, particularly at 
UMASS Amherst, and the licensing program which has done very well since its inception just a few 
years ago. The Committee praised the efforts of the campuses for continuing to work on these 
marketing opportunities, particularly with the current high profile athletic teams. 

The next item on the agenda was the Status of the Search for Athletic Director, UMASS 
Dartmouth . Mr. Dowd updated the Committee on the status of the search for a new Athletic 
Director. There is a ten-member Committee made up of students, faculty athletic representatives, 
athletic department staff and university administrators. The committee has received 124 applications 
that reflect substantial experience and diversity; 9 candidates have been identified for April 
interviews and a starting date of no later than July 1, 1996 has been set. Chancellor Cressy spoke to 
the importance of the new athletic director being able to promote the athletic program, work well 
with student athletes and build the campus' reputation in the area of athletics. 

There being no further business to come before the Committee, the meeting adjourned at 1:30 
p.m. 

Elizabeth H. Tutmll Farrell 
Asst. VP, Board Relations. 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
ATHLETIC COMMITTEE 

Thursday, November 21, 1996; 12:00 Noon 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Bogan; Vice Chair Foley; Trustees Arciero, Karam, 
Lewenberg, Mihos and O'Leary 

Committee Member Absent : Trustee Andriolo 

University Administration: President Bulger; General Counsel Kirby; Chancellors Scott, Cressy 
and Hogan; Mr. Marcum, Mr. Titus, Mr. McBryde and Mr. Skinner, Athletic Directors 

Chair Bogan convened the meeting at 12:15 p.m. The first item for discussion was A gents on 
Campus . Mr. Marcum reported that in January, 1995 there were rumors of agents or runners 
representing agents on campus in contact with basketball players, Marcus Camby and Lou Roe 
trying to convince them to turn professional. A program was set up that would register agents on 
campus. Mr. Glenn Wong at the Sports Management Program met with Coach Calipari and Mr. 
Camby and paired the list down to a workable number of agents. 

The agents were then invited to come in and make presentations to Mr. Camby. A 
Committee was formed of Mr. Wong, Mr. Marcum, Coach Calipari and Mr. Dave Glover. After 
presentations were made which were usually held on the days of games, the agents were asked 
to stay over and attend the game. Most of them did stay over. This developed into a perception 
that the campus was providing free tickets to agents. A call was made to the NCAA inquiring 
about agents names appearing on complimentary lists on other institutions around the country 
ranked as the top 25 teams. The response was that they had reviewed a number of 
complimentary lists by other institutions and agents names had appeared. The campus 
extended hospitality to these agents based on the presentations they made on that particular 
day. 

Mr. Marcum went on to report that there was one case of an agent from Hartford that was in 
attendance on more than one occasion. This agent had requested tickets and they were 
provided. 

As far as preparing players, the NCAA visited with Mr. Camby, Coach Calipari, Coach 
Bano and Lou Roe to prepare them for outside pressure. Mr. Dick Vitale was asked to speak to 
the team about agents and academics. Mr. Dick Shoul who was the Executive Director of the 
NCAA and now Chairs the Olympic Committee also visited the team. There were several 
other experts that came and met with the team. 

Trustee Lewenberg then offered that we need to be alert to the kinds of issues that affect our 
students, our athletes, our administration and our reputation and is confident that we have the 
right people in place that understand the issues and are aware of potential problems. 

The next item on the agenda was Astroturf, Garber Field, UMASS Amherst . Mr. Marcum 
reported that consultants have been used to study the feasibility of having artificial surfaces 



Athletic Committee 
November 21, 1996 



for field hockey and Men's Lacrosse at Garber Field. There has been inquiries from other teams 
about our position on artificial turf and there could be a problem with teams used to playing on 
artificial turf passing on our campus if we choose not to use the artificial turf. Currently we 
schedule some teams that insist on artificial turf at Westfield State College. 

Trustee Foley raised the concern he has with the injury rate connected to artificial turf and 
distributed some information detailing the statistically significant difference between the 
higher Astroturf injury rates for knee sprains. He also pointed out that Richard Garber's 
family for who the field is named should be involved in the decision to resurface the field. 

After a lengthy discussion it was decided that Trustee Lewenberg as a representative of 
this Committee and another member of the Board, discuss with Coach Garber's family and 
other alumni, the acceptance of artificial turf at Garber Field and if another field could be 
used. He would also look into the health concerns. 

Chancellor Cressy then welcomed Mr. Ken McBryde to the Dartmouth campus as the new 
Athletic Director who is off to a great start with fundraising events and his success with 
manufacturing a weight room out of a lobby. 

Chancellor Cressy then updated the Committee on Growth in Women's Athletics, UMASS 
Dartmouth . He reported on the campus' efforts for a gymnasium extension, the need to meet 
Title IX and Gender Equity requirements, the goal of meeting the critical health and wellness 
requirements of students, combating alcohol, drugs and eating disorders, and encouraging full 
scale development of intramural and instructional programs. 

He also noted the 49% increase in the enrollment of women and a 650% increase since the 
gym was built, a 250% increase in Women's Varsity sports and a 321% increase in women student 
athletes. The goal of the campus in intramural participants is to triple the number. The bond 
issues has gone through under Title IX with a $3.2 M bond of which $1.2M is slated for the 
athletic fields. There is a hope to attract the Patriots training camp there. He also spoke of 
their efforts to raise money for the needed square feet at the Gymnasium. 

Mr. Skinner then gave an update on athletic activities at the Lowell campus. Some of the 
highlights included the following: the arena has had its framework erected and is on track for 
completion by October, 1997; the baseball stadium is on schedule for an opening of spring, 1998; 
the student recreation center is in the process of completing a feasibility study and will serve as 
an important gateway to the city. 

The Athletics Committee on campus is engaged in a review of the programs with the 
primary focus on gender equity, athletic facilities and scholarship funding levels for all of the 
intercollegiate athletic programs. He also mentioned that out of 85,000 entries in the NYSP 
National Poster Contest, Tlay Thla Chim, a participant in UMASS Lowell's National Youth 
Sport Program won the contest and the drawing will be used next year as the NYSP logo on all 
T-shirts and publications. He also reported that UMASS Lowell has been accepted into the 
NCAA's Life Skills Programs. 

Mr. Titus from the Boston campus then gave his report. The Cross Country Team at UMASS 
Boston placed second place at Little East Conference Championships, the Football team was 2- 
7 overall and 2-6 with the New England Football Conference. The team is clearly an improved 
squad that was competitive in all but two games. The Men's Soccer game responded by 
producing the best season soccer ever seen and the Women's Soccer team improved their team as 
well. The Volleyball team had a 16-6 season. 



Athletic Committee 
November 21, 1996 



He further reported on the Dana Barros Camp that was extended this year from one to two 
weeks, the weekly orientation programs to acquaint new users to the fitness center and how to 
begin an exercise program. The Center will now be open from 6:00 a.m. to 11:00 p.m. to better 
accommodate people's schedules. 

Chair Bogan stated that the Committee would then vote to enter into Executive Session to 
comply with the provision of Family Education Rights Privacy Act and state privacy Laws 
with respect to a matter involving student records and further stated that the Committee would 
not reconvene in open session at the conclusion of the discussion. 

Trustees Arciero, Bogan, Karam, Mihos and O'Leary voted for the motion. The time was 
1:14 p.m. 

It was moved, seconded and 

VOTED : To enter into Executive Session for the purpose of considering a matter involving 
student records. 



AortW > ■ 0> ^ 



Barbara F. DeVico 
Staff Assistant 



i i 



-3- 



f 



i 



UNIVERSITY OF MASSACHUSETTS 

AMHERST "BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Wednesday, January 10, 1996; 8:30 a.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Giblin and Trustee Rivera (arrived late); Ms. Farrell, 
Assistant Vice President, Board Relations 

Committee Members Absent : Trustees Haynes, Naughton, O'Leary and Poduska 

University Administration : President Bulger; Vice President & General Counsel Kirby; Vice 
President Lenhardt; Vice Chancellors Page, MacCormack, Dars and Goodwin; Deputy Chancellor 
Stanton; Ms. Wanczyk, University Controller; Mr. Wolcott, Senior Director for Auditing and Fiscal 
Affairs 

Guests: Coopers & Lybrand: Mr. Gabranski, Mr. McBride and Mr. Ingram; Ms. Doiron; Ernst & 
Young: Mr. Elam and Mr. O'Hare 

Trustee Giblin began the meeting at 8:30 a.m. and referred to the first agenda item under External 
Audit Reports, University of Massachusetts Clinical Services Division, Management Letter for the 
Year ended June 30, 1995, UMASS Worcester . Mr. Elam from Ernst & Young reported on this item, 
noting first in the area of Internal Control that the audit, performed for the purposes of reviewing the 
financial statements, found no matters of material weakness. Mr. Elam went on to review the areas of 
Clinical Services, the Teaching Hospital, Group Practice and Self Insurance Trust, noting no 
reportable conditions. He pointed out the growth in managed care contracts at the Medical Center 
and the issue of the managed care environment that all health care institutions are seeing, 
emphasizing the importance of monitoring the cost structure, which the Medical Center has done 
very well. Mr. Elam further indicated that all comments of the previous year's audit had been 
addressed. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Management Letter on the 

Board Consent Agenda: 

University of Massachusetts Clinical Services Division, Management Letter for 
the year ended June 30, 1995, UMASS Worcester. 

The next item on the agenda was the Report on Federal Financial Assistance Programs in 
Accordance with OMB Circular A-133, for the year ended Tune 30. 1995 . Mr. Gabranski of Coopers 
& Lybrand gave an overview of the A-133 Audit, identifying initially the link with the financial 
statement audit, and also noted that they offer a separate opinion on controls and procedures 
governing federal awards, and a separate opinion with respect to the internal controls structure, 
specifically with respect to federal award programs. In these three areas, there were no reportable 
conditions. The reports on compliance, including the broad financial statement, the federal award 
level, and general compliance, were all clean with no reportable conditions. One item that Mr. 
Gabranski pointed out was a scope limitation with regard to outside service bureaus used by the 



University for student loan collections and payments processing which are audited separately; the 
findings from those audits are included. Regarding the findings, Mr. Gabranski noted that they are 
typical among large universities and are also very detailed due to the subject matter, such as financial 
aid. He indicated that the findings do not reflect anything significant, but did point out the 
importance of establishing property management standards in the area of financial aid offices; 
administration noted that this area is being addressed in a larger way throughout the university. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 

Agenda: 

Report on Federal Financial Assistance Programs in Accordance with OMB 
Circular A-133, for the year ended June 30, 1995. 

The next item on the agenda was the Management Letter for the University of Massachusetts 
General Purpose Financial Audit for the year ended Tune 20, 1995 . Mr. Gabranski reviewed the 
internal control structure and offered a historical perspective on the audit, this being the fifth year. 
He noted that all reportable conditions have been addressed and that there has been significant 
progress made over the past five years. Mr. Gabranski identified some of the comments made 
regarding the audit, and his satisfaction with the management responses, and reiterated that all 
comments of the prior years' audits have been addressed. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Audit on the Board Consent 

Agenda: 

Management Letter for the University of Massachusetts General Purpose 
Financial Audit, for the year ended June 30, 1995. 

The next item on the agenda was the WUMB-FM Radio, Financial Statements for the year 
ended June 30, 1995, UMASS Boston . Mr. Wolcott reminded the Committee that the radio station 
receives funding from the Corporation for Public Broadcasting, requiring an annual audit. The audit 
did not report any material conditions. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Financial Statements on the 

Board Consent Agenda: 

WUMB-FM Radio, Financial Statements for the year ended June, 30, 1995, 
UMASS Boston. 

The next item on the agenda was WUMB-FM Radio, Management Letter for the year ended 
June 30, 1995, UMASS Boston . Mr. Wolcott indicated that this year's letter contains follow-up items 
from the previous years' letters, and the outcome is very favorable. 

It was then moved, seconded and 



-2- 



VOTED : To recommend that the Board accept the following Management Letter on the 

Board Consent Agenda: 

WUMB-FM Radio, Management Letter for the year ended June, 30, 1995, UMASS 
Boston. 

The next item on the agenda was WFCR-FM and Friends of WFCR. Inc. Combined Financial 
Statement and Schedule, June 30, 1995, UMASS Amherst . Mr. Wolcott reported a similar situation 
as WUMB with a clean opinion on the financial statements. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Financial Statement and 

Schedule on the Board Consent Agenda: 

WFCR-FM Radio and Friends of WFCR, Inc. Combined Financial Statement and 
Schedule, June 30, 1995, UMASS Amherst. 

The next item on the agenda was WFCR-FM and Friends of WFCR, Inc. Management Letter, 
FY95 Audit . Mr. Wolcott indicated that there are a few minor items regarding accounting processes 
in this letter, but that there were no material control weaknesses. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Management Letter on the 

Board Consent Agenda: 

WFCR-FM Radio and Friends of WFCR, Inc. Management Letter, FY95 Audit 

The next item on the agenda was Continuing Education Program, Financial Statements for the 
year ended June 30, 1995, UMASS Boston . Mr. Wolcott reminded the Committee that the audit was 
performed at the request, and cost, of the program. The audit shows good operations of the program 
which offers significant support to the campus and to the library, and the inside management has 
been shown to be very good. It was further pointed out that there was a decrease in the fund balance 
which was intentional and part of the program's planning process. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Financial Statements on the 

Board Consent Agenda: 

Continuing Education Program, Financial Statements for the year ended June 30, 
1995, UMASS Boston. 

The next item on the agenda was Continuing Education Program, Management Letter, FY95 
Audit, UMASS Boston . In regard to the management letter, Mr. Wolcott noted that the finding from 
the FY1994 audit had been corrected. 

It was then moved, seconded and 



VOTED : To recommend that the Board accept the following Management Letter on the 

Board Consent Agenda: 

Continuing Education Program, Management Letter, FY95 Audit, UMASS 
Boston. 

The next item on the agenda was from the Internal Audit Reports, Employee Business Expense 
Report, UMASS Amherst . Mr. Wolcott noted that this is a regularly scheduled audit for all five 
campuses, and though there are a few findings, the outcome of the audit is generally positive. Mr. 
Wolcott then introduced Mr. Ed Lechner from the Amherst campus to briefly discuss these findings. 
Mr. Lechner then presented information on each finding and reviewed the management response. 
Vice Chancellor Paul Page offered additional information regarding the findings and the means by 
which the administration is approaching solutions to the findings. Mr. Wolcott indicated that as 
regards to the travel issues, many of them are related to management, whereas in terms of the actual 
testing of reimbursements, there were no unresolved problems. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 

Agenda: 

Employee Business Expense Report, UMASS Amherst. 

At this point in the meeting, President Bulger joined the Committee. The time was 9:20 a.m. The 
President thanked the staff and the Committee for their efforts, and described his first week at the 
University as entailing extensive meetings with various groups at the campuses. 

The next item on the agenda for discussion was the Current Status of the Request for Proposal 
Process for the University General Purpose Financial and University A-133 Audits for Fiscal Year 
ending June 30, 1996, and Thereafter . Mr. Wolcott updated the Committee on the process for 
requesting proposals from firms for the A-133 audit, as the Coopers & Lybrand contract had a five 
year term. The RFP is prepared to be released in the next few days, and the RFP advertisement will 
be in the January 11, 1996 issue of the Boston Globe . Mr. Wolcott stated that, in addition, the RFP will 
be sent to the Big 6 firms. All of these firms will also be made aware of all meetings and open houses 
that will be held. Chair Giblin thanked the staff, in particular Mr. Wolcott and Ms. Wanczyk for their 
hard work in preparing for this RFP. 

The next item on the agenda also for discussion was a University Auditing Status Report as of 
December 22, 1995 . Mr. Wolcott provided the Committee with an update of the current projects in 
the auditor's office. The major area of work that will be addressed is an equipment inventory/fixed 
assets inventory; the administration is currently working on a draft policy, but given the enormous 
area of concern, the development will be slow. Ms. Wanczyk identified the areas that the University 
Controllers will work on and the areas that the Purchasing Council will work on in developing the 
policy for doing this work; recommendations will then be made to the Management Council. 

The next item on the agenda was an informational item, Background and Update on the Audit 
of Student Affairs, Registered Student Organizations, UMASS Amherst . Mr. Wolcott noted that 
this audit was performed at the request of the Chairman of the Board and the former Chair of the 
Audit Committee. Mr. Wolcott then introduced Mr. Harrison of the Auditor's office on the Amherst 
campus. Mr. Harrison provided some background information on the RSO's/Student Activities 
Trust Fund. The audit was begun in fall, 1995, and Mr. Harrison described the original scope of the 
audit, which changed with the auditors' clarity in understanding the various student-related 
organizations, so that in addition to RSO's, all administration and business offices of student campus 



» 



♦ 



activities were a part of the audit. Mr. Harrison went on to identify some of the issues that were 
identified in the process of the audit, and which will be presented in the audit report to this 
Committee in the near future, following a draft report on the campus. 

The next item for informational purposes was the Review of the System Conversion Audit of 
the Billing and Receivable System, UMA SS Worcester. Mr. Wolcott said that this item represents a 
wholly new area to the University Auditor's Office, and the two Medical Center auditors, Maurice 
Granfield and Gail Hormats reviewed the substantial work that this audit entailed. They identified 
the three conversions that were planned, and went through their project management, testing 
procedures and results, all system runs (which were completed cleanly), procedures, the cash flow 
shortfall problem due to the conversion, general ledger balances, B/AR data conversions and 
reconciliations, and a review of the system security. In general, the conversion was highly successful 
and no significant findings were found. Chair Giblin commended Mr. Granfield and Ms. Hormats, 
along with all members of the Medical Center staff who were involved in this successful project. 
Deputy Chancellor Stanton commented on the importance of this project as a basis for making 
decisions University-wide based on the administrative redesign project recommendations which may 
call for changes that may result in this type of conversions. 

Trustee Rivera then had several questions regarding the Management Letter for the University of 
Massachusetts General Purpose Financial Audit for the year ended June 30, 1995. The Vice 
Chancellors addressed these questions as the auditors from Coopers & Lybrand had departed after 
their audit report. Some discussion regarding management responses was held following some of 
Trustee Rivera's questions. 

There being no further business to come before the Committee, the meeting was adjourned at 
10:40 a.m. 



Elizabeth H. Tuthill Farrell 
Asst. VP for Board Relations 



-5- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST •BOSTON •DARTMOUTH 'LOWELL •WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Thursday, March 21, 1996; 3:00 p.m. 

Conference Room A 

University of Massachusetts Medical Center 

Worcester, Massachusetts 

Committee and Committee Staff : Chair Giblin and Vice Chair Naughton; Ms. Farrell, Assistant Vice 
President, Board Relations 

Committee Members Absent : Trustees Haynes, O'Leary, Poduska, and Rivera 

University Administration : President Bulger; Vice President Lenhardt; Mr. Bench, Associate 
Counsel; Deputy Chancellor MacCormack; Vice Chancellor Goodwin; Ms. Sullivan, UMASS 
Dartmouth; Mr. Sullivan, UMASS Amherst; Ms. Ashley, UMMC; Ms. Wanczyk, University 
Controller; Mr. Wolcott, Senior Director for Auditing and Fiscal Affairs 

Guests : Coopers & Lybrand: Mr. Doyle, Mr. Gabranski, and Mr. Ingram 

Chair Giblin called the meeting to order at 3:00 p.m. The agenda was taken out of order, with 
item number four, Selection of an External Auditors Firm for the University's General Purpose 
Financial and OMB Circular A-133. Audit for Fiscal Years ending Tune 30. 1996, 1997, and 1998 with 
Option to Extend for Fiscal Years ending June 30, 1999 and 2000 taken up first. Mr. Wolcott 
described the process for selecting the external audit firm with the issuance of an RFP which elicited 
three responses, the strongest being from Coopers & Lybrand. Mr. Wolcott identified the search 
team, and process for presentations on March 12 by the two remaining firms (one firm missed the 
RFP deadline). The search group unanimously recommended Coopers & Lybrand based on their 
proposal and presentation. Ms. Wanczyk also commented on the thoroughness of the process and 
her confidence in the choice of Coopers. 

It was then moved, seconded and 

VOTED: To recommend that the Board take the following action on the Board 

Consent Agenda: 

To select the auditing firm of Coopers & Lybrand for the University's 
General Purpose Financial and OMB Circular A-133 Audit for Fiscal Years 
ending June 30, 1996, 1997, and 1998, with the option to extend for Fiscal 
Years ending June 30, 1999, and 2000; and further, to authorize the President 
or his designee to conclude the necessary contractual arrangements. 

Mr. Giblin then asked the representatives from Coopers & Lybrand to address any questions 
from the Committee. Mr. Wolcott then introduced Misters Doyle, Gabranski and Ingram. Mr. Doyle 
spoke to the importance of this work for Coopers and their appreciation for the attention of this 
Committee which helps the audit firm focus on future work. Mr. Gabranski then reviewed the firm's 
scope of University auditing work in making the proposal for this contract, and also addressed the 
work that has been undertaken and improvements at the University made in the past five years. Mr. 
Ingram then spoke to the purpose of the A-133 Audit which is the federal compliance audit. Other 
areas discussed include the usefulness of Coopers' work with other Massachusetts and New England 



Universities of similar size, amount of time spent at each campus, and the transmittal of "best 
practices" across the campuses. Mr. Gabranski indicated that much of his work can now go through 
more centralized channels, based on systems that have been put in place over the past five years, 
resulting in savings in both time and money as well as improved efficiency. 

In terms of the contract, the firm's work will be reevaluated after three years by the Audit 
Committee based on overall results: performance, campus satisfaction, fees, etc. Lastly, the firm 
stated the great importance of information systems to the University's continued upkeep in all areas 
for financial integrity. Mr. Lenhardt indicated that this area is being reviewed by the Administrative 
Redesign team. There was then some discussion of the importance of post-audit rules and 
procedures that will need to be established particularly in light of the proposed purchase card. 

The next item on the agenda was the Agreed-upon Procedures Report for NCAA Compliance, 
UMASS Amherst, Department of Athletics and Intramurals as of June 30, 1995 and Agreed-upon 
Procedures Report for NCAA Compliance, UMASS Amherst Intercollegiate Athletics Programs 
and Related Booster Organizations for Year Ended June 30, 1995 . Mr. Wolcott explained the 
compliance procedures that are required by the NCAA for Division I institutions, such as UMASS 
Amherst; some significant problems did occur in these areas in approximately six or eight years 
before, due mainly to inattention. All recent audits show compliance, and the campus is in the 
process of an NCAA peer review. Chair Giblin expressed concern for the lack of any formal, written 
policies and /or procedures in these and /or other departments regarding this particular issue. Mr. 
Wolcott stated that there are procedures for coaches as they are employees, however, where 
reimbursements to student athletes while traveling with teams, are concerned they are not covered as 
UMASS employees. Rather they are instead beholden to the NCAA rules, therefore no written 
University policy is in place. Mr. Sullivan further explained some of the details in the report and 
stated that a policy is being implemented. 

It was then moved, seconded and 

VOTED: To recommend that the Board accept the following Report on the Board 

Consent Agenda: 

Agreed-upon Procedures Report for NCAA Compliance, UMASS Amherst, 
Department of Athletics and Intramurals as of June 30, 1995. 

and further 

VOTED: To recommend that the Board accept the following Report on the Board 

Consent Agenda: 

Agreed-upon Procedures Report for NCAA Compliance, UMASS Amherst, 
Intercollegiate Athletics Programs and Related Booster Organizations for 
Year Ended June 30, 1995. 

The next item on the agenda was the Audit Involvement Report in Hospital Systems 
Conversions . Mr. Wolcott reminded the Committee that members of his office at the Medical Center 
had reported on this project at the January, 1996 meeting. Chair Giblin spoke to the strength of the 
report and excellence of the University's audit staff work. Mr. Wolcott further complimented the 
conversion team of the Medical Center for their work as they overcame some serious challenges 
during the project. 

It was moved, seconded and 



t 



% 



VOTED: To recommend that the Board accept the following Report on the Board 

Consent Agenda: 

Audit Involvement Report in Hospital Business Systems Conversions. 

The next item on the agenda was the University Auditing Status Report . Mr. Wolcott reviewed 
his status report for the Committee, and identified audits that would be brought to the next meeting 
of the Committee (July, 1996). He concluded his report by stating that an additional auditor had been 
added to his staff in the central office in Boston. 

Chair Giblin further addressed the issue of written codes and procedures in many areas across 
the University. He and Mr. Lenhardt will discuss this issue with the team leading the Administrative 
Redesign Project. 

There being no further business, the meeting was adjourned at 4:20 p.m. 




Elizabeth H. Tufhill Farrell 
Asst. VP, Board Relations 



UNIVERSITY OF MASSACHUSETTS 

AMHERST •BOSTON 'DARTMOUTH -LOWELL -WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Wednesday, July 10, 1996; 3:00 p.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Giblin; Vice Chair Naughton; Trustees Carter and Haynes 

Committee Members Absent : Trustees O'Leary and Poduska 

Other Trustees : Trustee Andriolo 

University Administration : Vice President & General Counsel Kirby; Vice President Lenhardt; Vice 
Chancellors Page, Dars and Goodwin; Mr. Stewart, Chief Fiscal Officer; Ms. Wanczyk, University 
Controller; Mr. Wolcott, Senior Director for Auditing and Fiscal Affairs; Mr. Granfield, Mr. Harrison 
and Mr. Lecnar, Internal Auditors 

UMASS Amherst : (via video-conference) Vice Chancellor Robinson; Gail Matthews, Rick Townes, 
Allen Brainerd, Robert Morgan, Donna Yezierski and Marcie Coach 

Trustee Giblin began the meeting at 3:10 p.m. and welcomed Auditors Mr. Harrison, Mr. 
Granfield and University Controller Wanczyk to the meeting. He then announced that the order of 
the agenda would be slightly modified so that the participants via the video conferencing would have 
their agenda items discussed first . 

The Committee then discussed the Student Activities Trust Fund - Registered Student 
Organizations, UMASS Amherst. Mr. Wolcott gave an overview of the final report of the financial 
and operational review of the SATF and reported that his staff had worked closely with the Student 
Government Association, the Campus Activities Office and the Center for Student Business. There 
was a discussion about the need to keep the inventory of all assets held by the Student Activities 
Trust Fund updated. It was noted that the Auditor has requested the results of the completed 
inventory project. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 

Agenda: 

Student Activities Trust Fund - Registered Student Organizations, UMASS 
Amherst 

The next item on the agenda was the Report on Medical Claims Administration, Operational 
Procedures and Adjudication Process for the Supplemental Health Benefits Plan, Plan Year 1995, 
UMASS Amherst . Mr. Wolcott reported that KPMG Peat Marwick had conducted a report of the 
medical benefit claims paid by First Health, an outside firm being used since 1994 to administer the 
UMASS Amherst Supplemental Health Benefits Plan. The Plan is a self-funded health benefits plan 
which provides medical benefits to certain eligible graduates, undergraduate and continuing 
education students of UMASS and their eligible dependents. 



Audit Committee 
July 10, 1996 

Mr. Wolcott pointed out that the campus is currently in the process of selecting a new firm to 
process health claims in the future. There was then a discussion about the Medical Claims Review 
Results and that out of the 200 claims reviewed there had been 20 overpayments as opposed to 1 
underpayment. It was stressed that as part of the bidding process the firms be aware that this level of 
error is not acceptable. The Committee was assured that appropriate performance compensation 
requirements will be incorporated into the contract once the new firm has been selected. 

Chair Giblin then inquired as to why student health services comes under the jurisdiction of the 
University Health Services organization. It was pointed out that this issue is currently being 
discussed by the University Health Care Subcommittee chaired by Trustee Foley. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 

Agenda: 

Report on Medical Claims Administration, Operational Procedures and 
Adjudication Process for the Supplemental Health Benefits Plan, Plan Year 1995, 
UMASS Amherst 

The next item was the Departmental Gifts Account - Administration and Control, UMASS 
Amherst . Mr. Wolcott reported that this review of departmental gift accounts had the purpose of 
assessing the adequacy of the internal controls over the receipt and expenditures of these funds in 
compliance with existing University and Amherst campus policies and donor restrictions. There was 
discussion about the record keeping procedures for athletic tickets. Currently there is a search being 
conducted for a new ticket manager; once that position is filled there will be a comprehensive review 
of the process of tickets procedures. The Committee requested that the procedures that would 
adequately account for all tickets that are billed to the Athletic department Trust Fund accounts be on 
the next Audit Committee agenda. It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 

Agenda: 

Departmental Gift Accounts - Administration and Control, UMASS Amherst 

The next item on the agenda was the Vehicle Fuels Control Survey, UMASS Amherst . Mr. 
Wolcott reported that this report reflected the results of a survey of vehicle fuels delivery, inventory 
and dispensing controls at the Amherst campus. Mr. Lecnar reported that the Physical Plant 
management will have in place a software program that is compatible with existing tank and fuel 
pump monitoring software. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 

Agenda: 

Vehicle Fuel Controls Survey, UMASS Amherst 

The next item on the agenda was the Report on Employee Business Expense Processing and 
Control, UMASS Boston . Mr. Wolcott reported on the financial and operational review of employee 
business expense reimbursements. It was noted that the Controller's office aggressively follows up 



Audit Committee 
July 10, 1996 

on outstanding travel advances and that the development of a formal policy governing the processing 
of payroll advances has begun. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 

Agenda: 

Report on Employee Business Expense Processing and Control, UMASS Boston 

The next item on the agenda, Follow-Up Audit of the Department of Pharmacy and Clinical 
Pharmacy. UMASS Worcester was deferred until the next meeting so that the Finance Committee of 
the Clinical Management Board have ample time to review the report. 

Chair Giblin then commended the University Auditor and his staff for the quality and clarity of 
the writing of the audit reports. 

The next item on the agenda for discussion was the University Auditor's Office Status Report . 
Some of the projects being worked on included Administrative Re-design - Purchase Card and Travel 
Projects, University-wide audits of selected Auxiliary Services operations at Amherst, a 
comprehensive audit of fixed asset/equipment inventory projects, procedures and practices starting 
at UMASS Dartmouth and various information systems upgrades and conversions at UMASS 
Worcester. 

Members of the audit staff are also coordinating requests for proposals for audits and reviews of 
Amherst's Student Health Services, Supplemental Health Benefits Plan Trust and claims 
administration for the supplemental plan and WUMB-FM Radio at UMASS Boston. 

Lastly, all scheduled, contracted external audits and reviews not requiring bidding for the fiscal 
year ended June 30, 1996 have started or will start in the near future. Those audits include Amherst's 
WFCR-FM Radio audit and Athletics (NCAA) and Outside Booster Organizations agreed-upon 
procedures, Worcester's Clinical System audit, Boston's Continuing Education and the University's 
General Purpose Financial and A-133 audits. 

There being no further business to come before the Committee, the meeting was adjourned at 4:16 
P- m - ; 

WOJUMA- (k W 
Barbara DeVico 
Staff Assistant 



-3- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Tuesday, September 10, 1996; 3:00 p.m. 

University of Massachusetts Medical Center 

Meeting Room A 

55 Lake Avenue North 

Worcester, Massachusetts 

Committee and Committee Staff : Chair Giblin; Trustees Carter and Poduska 

Committee Members Absent : Trustees Haynes, Naughton and O'Leary 

University Administration : Vice Chancellors Page, and Goodwin; Deputy Chancellors 
MacCormack and Stanton; Ms. Wanczyk, University Controller; Mr. Wolcott, Senior Director 
for Auditing and Fiscal Affairs; Ms. Goulart, Ms. Hormats, Mr. Granfield, Mr. Harrison, Mr. 
Lecnar and Mr. Sampson, Internal Auditors 

Chair Giblin began the meeting at 3:07 p.m. and welcomed Ms. Goulart, a new member of 
the Auditing staff to the meeting. Chair Giblin then recognized Trustee Carter who announced 
that the MTV Choose or Lose Bus is at the Amherst campus registering students to vote. 

The first item on the agenda was Audit Firm Selections Recommendations . Mr. Wolcott 
called on Mr. Lecnar to report on the Combined Student Health Trust Funds Supplemental 
Health Benefits Plan, UMASS Amherst . Mr. Lecnar proceeded to inform the Committee of the 
review process used by the Selection Committee formed to evaluate the proposals. The 
recommendation to award the contract to the firm of KPMG Peat Marwick was based on bids 
which were subjected to a numerical evaluation. Those factors included: 

1) Firm Health Care/non-profit familiarity /college and university experience; 

2) Staffing levels; 

3) Qualifications of the audit team; 

4) Contract total not-to-exceed fees and expenses. 

It was further noted that statistical analyses have been prepared to assist the Committee 
with their recommendation. After a thorough review, the selection committee has 
recommended to the Audit Committee the firm of KPMG Peat Marwick. After a brief 
discussion, it was moved, seconded and 

VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

To concur with the recommendation of the University Senior Director for 
Auditing to select the firm of KPMG Peat Marwick LLP to perform the audits of 
Combined Student Health Trust Funds and Supplemental Health Benefits Plan, 
UMASS Amherst. (Doc. T96-098) 

The next item on the agenda was the Audit Firm Selection for WUMB-FM Radio. UMASS 
Boston . Mr. Granfield spoke of the selection process for the award of the contract for financial 
audits of Radio Station WUMB-FM. Once a selection committee was formed an RFP was mailed 



Audit Committee 
September 11, 1996 



out to sixteen CPA firms. Four bids were received and the committee evaluated the four 
proposals using the numerical evaluation on 

1) Firm non-commercial broadcasting experience/non-profit familiarity /college and 
University experience; 

2) Staffing levels; 

3) Qualifications of the audit team; 

4) Contract total including not-to-exceed fees and expenses. 

The firm of Wolf and Company, PC was selected as a result of the highest score on the 
evaluation criteria. It was then moved, seconded and 

VOTED : To recommend that the Board Jake the following action on the Board Consent 
Agenda: 

To concur with the recommendation of the University Senior Director for 
Auditing to select the firm of Wolfe & Company, P.C. to perform the audits for 
WUMB-FM Radio, UMASS Boston. (Doc. T96-098) 

The next item on the agenda was the FY97-99 Audit Operations Plan . Mr. Wolcott briefed 
the Committee on the goals and objectives of the Auditing staff for the next three years. Some 
of the highlights included: 

•Internal Control System Audits that will evaluate the overall adequacy of internal 
control systems throughout the University. 

•Non-State Funds Audits which will include athletics at Boston, Lowell and Dartmouth, 
Continuing Education Programs at Lowell, Dartmouth and Worcester, and the audit of 
Auxiliary Services at Amherst. 

•Specific Purpose Audits - Administrative Redesign has been added to provide recognition 
for the role of the Auditor's office; Contract Compliance has been rescheduled. There will be a 
University-wide project to identify and test as appropriate all contracts involving expenditures 
or revenues throughout the University. Student Health Services at Boston were added as well 
as Dartmouth and Lowell. 

• University Medical Center Audits 

• Folio w-Up Audits 

•External Audit Coordination and Support - this will cover all audits of the University or 
of any of its operations carried out by other than the University Auditor's Office staff. 

It was then moved, seconded and 

VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

To approve the FY97-99 Audit Operations Plan as contained in Doc. T96-099. 

The next item was the Audit Office Status Report as of August 23. 1996 . Mr. Wolcott 
updated the Committee on the professional development of several staff members; Gail 
Hormats has passed the Certified Information Systems Auditor (CISA) program; Robert 



-2- 



Audit Committee 
September 11, 1996 



Harrison and James Sampson were both awarded the designation of "Certified Fraud 
Examiner" (CFE). 

In further developments Mr. Wolcott indicated that a pressing need exists to develop a 
"Corporate Compliance" function at the Medical Center. In that regard, he discussed his 
efforts including meeting with Campus legal counsel, representatives of a major accounting firm, 
and senior management to identify and develop options for dealing with this issue. He 
introduced Maurice Granfield from the audit staff to discuss areas of potential exposure for the 
Medical Center and recent developments in Medicare Fraud and Abuse. 

Mr. Wolcott then indicated that a presentation by his office and representatives of KPMG 
Peat Marwick would be scheduled at the Medical Center on the need for a comprehensive 
Corporate Compliance Program. The proposed presentation would lay the groundwork for such 
a program's development. Mr. Wolcott said that he would report back to the Audit Committee 
on these efforts. 

There was a brief follow-up discussion on the status of the Athletic Ticket Record-Keeping 
Procedures at the Amherst campus. Mr. Lecnar reported that a new ticket manager is on board 
and that a new set of procedures for dispensing tickets was in place. More information will be 
available in the follow-up audit. 

There being no further business to come before the Committee the meeting was adjourned at 
4:05 p.m. 



koJU^OzUui/ 



Barbara DeVico 
Staff Assistant 



-3- 



"^ 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Thursday, November 21, 1996; 11:00 a.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Giblin; Vice Chair Naughton; Trustees Arciero, Carter, and 
Karam 

Committee Members Absent : Trustees Haynes, Poduska, and O'Leary 

Other Trustees : Trustees Bogan and Flores 

University Administration : Vice President and General Counsel Kirby; Vice President Lenhardt; 
Chancellors Scott, Cressy and Hogan; Vice Chancellors Page, Dars and Goodwin; Deputy Chancellors 
MacCormack and Stanton; Ms. Wanczyk, University Controller; Mr. Wolcott, Senior Director for 
Auditing and Fiscal Affairs; Ms. Hormats, Mr. Granfield, and Mr. Sampson, Internal Auditors 

Guests : Mr. Gabranski, Coopers and Lybrand; Mr. Elam, Ernst & Young 

Trustee Giblin began the meeting at 11:15 a. m. and referred to the first agenda item, under 
External Audits, the FY 1996 University Financial Report . Mr. Gabranski then updated the 
Committee with the financial reporting process which includes auditing the combined balance sheet, 
statement of changes in funds balances and statement of current funds revenues, expenditures and 
other changes of the campuses as well as the office of the central administration. 

Some of the highlights included: 

•The University has recorded depreciation only for the Hospital and Group Practice 
Plan assets in keeping with applicable accounting principles; 

•The University presents its financial statements using a format followed by the 
majority of public colleges and universities; 

•The Worcester City Campus Corporation (WCCC) has been excluded from the 1996 
financial statements; the University will need to evaluate this situation as the 
WCCC activity increases; 

•The University's combined financial statement does not include the financial results 
of the University's Foundations; this should be looked at as well; 

•Judgments used in deriving accounting estimates including worker's 
Compensation, sick leave benefits and retirement Incentive /Succession Planning 
program, the Medical Center on behalf of the Worcester Medical School, Teaching 
Hospital Trust Fund, and Group Practice Plan and Quasi Endowment Funding. 






Audit Committee 
November 21, 1996 



It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda: 

To accept the FY 1996 University Financial Report, as contained in Doc. T96-118. 

The next item for approval was the Clinical S ervices Division, Audited Materials Combined 
Financial Statements and Other Financial Information, UMASS Worcester . Mr. Elam from Ernst & 
Young reported on the financial statements and pointed out that the Teaching Hospital reduced its 
accrued third party liabilities during 1996 as a result of deregulation and changes in the 
Massachusetts third party payor environment as noted in Ernst & Young's opinion on the Clinical 
Services Division's financial statements. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda 

Clinical Services Division, Audited Combined Financial Statements and Other 
Financial Information, UMASS Worcester. 

The next item on the agenda was the WUMB-FM Audited Financial Statements and 
Management Letter, FY96, UMASS Boston . Mr. Wolcott reported that results of the financial 
operations of this audit were very good overall with minor observations in the Management Letter. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda: 

WUMB-FM Audited Financial Statements and Management Letter, FY96, UMASS 
Boston 

The next item on the agenda was the WFCR & Friends of WFCR Audited Financial Statements 
and Management Letter, FY96, UMASS Amherst . Mr. Wolcott reported that this audit was 
straightforward with positive results. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda: 

WFCR & Friends of WFRC Audited Financial Statements and Management Letter, 
FY96, UMASS Amherst 

The next item on the agenda was the Clinical Systems Upgrade, Medictech 4.3 to 4.5, UMASS 
Worcester . Mr. Wolcott and Mr. Granfield reported that at the request of the Clinical System and 
Information Resource Administration a project team had been charged with the upgrade of fourteen 
applications supporting the Clinical System. This included the majority of the direct patient care 
systems used at the Medical Center as well as the administrative and financial applications. 



Audit Committee 
November 21, 1996 

It was further reported that all fourteen upgrades had been completed on schedule. The 
upgraded systems will enable the Clinical System to better achieve its mission. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda: 

Clinical Systems Upgrade, Meditech 4.3 to 4.5, UMASS Worcester 

The next item on the agenda was the President's Office Expenditures , FY95 and First Half FY96 . 
Mr. Wolcott reported that there had been approximately 1100 transactions approaching $800,000. The 
detailed findings and recommendations were reviewed with management and improvements are 
expected to be carried out. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda: 

President's Office Expenditures, FY95 & First Half, FY96 

The next item on the agenda was approval of the Pharmacy & Clinical Pharmacy Follow-Up 
Report, UMASS Worcester . Mr. Granfield reported that this was a follow-up audit from 1993. The 
Audit staff evaluated management's implementation of the past audit recommendations and found 
that twelve had been resolved, eleven were partially resolved and five remain to be resolved. He also 
discussed the Pyxix system which is a computer network dedicated to drug storage and distribution. 
The Pyxix policy delineates procedures for the appropriate disposal of controlled substances. There 
were some recommendations for improving controls related to this system which are in the process of 
being implemented. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda: 

Pharmacy & Clinical Pharmacy Follow-Up Report, UMASS Worcester 

The next item on the agenda was an informational item, the University Auditor's Office Status 
Report . Mr. Wolcott reported that Ms. Hormats completed her C.I.S.A. requirements. He also 
reported of the continued work to identify and develop options for a corporate compliance program 
at UMASS Worcester, and a review of the controls over the transmission of data from the campuses to 
the responsible federal agency for direct student loans. 

Mr. Wolcott continued his report with information concerning the General UMASS Amherst 
Audit conducted by the Office of the State Auditor which is now in its eighteenth month working on 
the Athletics' travel expenses, other business expenses, research trust funds and tuition waivers. 

There being no further business to come before the Committee, the meeting was adjourned at 
12:00 noon. 



0xxswoj\c^sfr. ^te^-ajS 



Barbara F. DeVico 
Staff Assistant 



6 



I I 



% 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
INVESTMENT SUBCOMMITTEE 

Tuesday, May 14, 1996; 9:00 a.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Trustees Fey and Haynes; Ms. Farrell, Secretary to 
the Board 

Committee Members Absent : Trustees Karam and Poduska 

University Administration : General Counsel Kirby; Vice President Lenhardt; Deputy Chancellor 
Stanton; Vice Chancellors Dars and Goodwin; Associate Treasurer Marquis 

Chair Spence convened the meeting at 9:10 a.m. and turned to Vice President Lenhardt regarding 
the first discussion item on the agenda, the Revisions to the Investment Policy . Vice President 
Lenhardt explained that the policy revisions were being brought to the Subcommittee for discussion 
purposes, not for action, in order to allow the input of the membership. He identified the primary 
changes that would move the policy from a cash management policy to investment policy in line with 
investment strategy; and to ensure that the policy is consistent with the Administration's authority to 
invest in equities as authorized by the Board. Discussion regarding several aspects of the policy and 
background information regarding the formation of the Subcommittee and some of its activities then 
followed. The Subcommittee agreed that the Administration should review the draft policy with the 
investment consultants, Prime Bucholtz, particularly refining the policy area regarding equities. 
Trustee Fey further suggested that the Administration review other universities' investment policies, 
which she indicated she would be happy to supply for these purposes. Further discussion regarding 
specific areas of the policy was held, particularly in the area of conflicts of interests and Trustee 
disclosures. It was suggested that the Trustees annually report any relationship with businesses with 
which the University may have business dealings over a designated amount of money; review of 
another institution's form was suggested. Clarifying language regarding the investment in Exotic 
Derivatives was also suggested. 

The second item on the agenda for discussion was the Quarterly Investment Reports . These 
reports included the University Cash Portfolio Information', the UMASS Quasi-Endowment Equity 
Program; the UMASS Foundation Endowment; and the UMASS Malpractice Trust. Vice President 
Lenhardt and Associate Treasurer Marquis provided information in response to various questions 
regarding these reports, in particular, the quasi-endowment program. Some discussion regarding the 
role of the investment consulting group, Prime Bucholtz, was held. It was suggested that the 
Investment Subcommittee establish a calendar with quarterly meetings and that the consultants 
attend at least two meetings each year. 

The third item on the agenda for discussion was the University Investment in "New Ventures" . 
Vice President Lenhardt stated that this item is presented for discussion regarding speculative 
investments to determine whether to engage in such investments and what the maximum for such 
investment might be. This type of situation may arise when the university has stock options offered 
from a university "spin-out" company in addition to the initial stock allotted to the university at the 
inception. This area is closely tied to the recently approved policy on Technology Transfer. It was 



Investment Subcommittee 
May 14, 1996 



suggested that the Administration consider adding appropriate language regarding the alternative 
investments as part of the Investment Policy. Further discussion will occur at the next meeting. 

Trustee Haynes then requested that the Subcommittee look at the question of investments in 
tobacco. Vice President Lenhardt and Associate Treasurer Marquis stated that, in terms of fixed- 
income investments, divesting from tobacco companies is feasible, but in the mutual fund 
investments it would be more difficult. Vice President Lenhardt suggested that the Subcommittee 
review a "snapshot" of our mutual fund portfolio and fixed income portfolio for June 30 during a 
certain period to help determine the extent of these types of investments. 

There being no further business, the meeting adjourned at 10:05 a.m. 



Elizabeth H. TuthillVFarrell 
Secretary to the Board of Trustees 



-2- 






UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
INVESTMENT SUBCOMMITTEE 

Thursday, September 12, 1996; 1:00 p.m. 

18 Tremont Street - Suite 800 

Wood Room 

Boston, Massachusetts 

Committee : Chair Spence; Trustees Fey and Poduska 

Committee Member Absent Trustee Haynes 

University Administration : Vice President Lenhardt; Vice President and General Counsel 
Kirby; Mr. Marquis, Associate Treasurer; Chancellor Penney; Vice Chancellor Goodwin 

Guests : Mr. Prime and Mr. McCarron, Prime, Buchholz & Associates, Inc. 

Chair Spence convened the meeting at 1:10 p.m. The Committee then heard from Mr. Jon 
Prime and Mr. McCarron from Prime, Buchholz & Associates, the University's investment 
consultant group. Mr. Prime pointed out highlights of a report that was distributed which 
provided an overview of the firm's philosophy and clients. 

Mr. Prime then discussed the tools needed to build a successful investment program as well 
the various methods for return enhancement and risk reduction. Some basic investment policy 
objectives included 

•document goals of the investment program; 

•set clear and realistic objectives for the fund, each asset class and each investment 

manager; 

•develop risk control strategy and diversification guidelines. 

There was then a question about the role of the financial advisor versus the financial 
manager. Mr. Prime explained that these two roles should be separate with the advisor being 
responsible for maintaining the performance of the financial manager and reporting the results 
of said evaluation to the Committee. 

The first item on the agenda for discussion was Investment Performance Analysis. 
University of Massachusetts. University of Massachusetts Foundation and University of 
Massachusetts Self Insurance Trust . Mr. Prime went on to explain the three pools of funds: 1) 
endowments on behalf of the University; 2) Self-Insurance Trust and 3) University Cash. 

Following the discussion by Mr. Prime which highlighted the quarterly performance of the 
funds, there was a question regarding what length of time should be used to evaluate a 
manager. Specific reference was made to the under performance of the Blue Chips Growth 
Fund. Based on the advisor's insight, it was generally agreed there should be a three to five 
year period for evaluation during which time a manager has to make an impact on the 
financial health of the institution they are investing money for. 

The Committee then expressed their concern with the rate of return on the Fidelity and 
Clover funds. 



Investment Subcommittee 
September 12, 1996 

The Committee then thanked Mr. Prime for his input and proceeded to the next agenda 
item, approval of the FY96 Treasurer's Investment Report . Vice President Lenhardt reported 
that these results were based on an average pool of $235 million. He commended Mr. Marquis 
and his staff for this year's investment results. It was also noted that the return of over $15 
million to the University is the second greatest amount in the history of the University. 

It was then moved, seconded and 

VOTED : To recommend that the Committee on Administration and Finance take the 
following action: 

To accept the FY1996 Treasurer's Investment Report as contained in Doc. T96- 
103. 

The next item was Revisions to the Investment Policy . Vice President Lenhardt reported 
that the majority of these amendments were cosmetic and that changing the name of the Cash 
Management Policy to the Investment Policy was more of an accurate description. A section 
designed to guide the equity portion of the portfolio was added. 

It was moved, seconded and 

VOTED: To recommend that the Committee on Administration and Finance take the 
following action: 

To approve the amendments to the Revised Investment Policy (formerly the 
Cash Management Policy), as contained in Doc. T92-031, Appendix F, as 
revised. 

Following up on an issue from the last meeting, Vice President Lenhardt reported that 
investments in tobacco and tobacco related investments was less than 1% of all trust funds. 

There being no further business, the meeting adjourned at 2:10 p.m. 

Barbara DeVico 
Staff Assistant 



w 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
NOMINATING COMMITTEE 

Thursday, June 20, 1996; 4:00 p.m. 

Longfellow Room 

Boston Marriott Hotel 

Newton, Massachusetts 

Committee and Committee Staff : Chair Naughton; Trustees Flores, Giblin and Spence 

The Nominating Committee convened at 4:05 p.m. Chair Naughton thanked the members 
for agreeing to serve on the Committee during this important year when the current Chair has 
indicated his intentions to leave the Board. Chair Naughton suggested that the Committee 
discuss the needs of the Board with respect to Officers and Committee Chairs in general and 
discussion occurred. The number of Vice Chairs and Committee Chairs was discussed. 

The Committee then discussed the best way to obtain input from Board members concerning 
possible officers. 

Finally, the Committee discussed possible candidates for the various officers and the 
qualities they would bring to the positions. 

There being no further business, the Committee adjourned at 5:45 p.m. 

/John M. Naughton 
Chair 




« 



UNIVERSITY OF MASSACHUSETTS 



AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 



MINUTES OF THE MEETING OF THE 
NOMINATING COMMITTEE 

Monday, July 22, 1996; 4:00 p.m. 

Longfellow Room 

Boston Marriott Hotel 

Newton, Massachusetts 

Committee : Chair Naughton; Trustees Flores, Giblin and Spence 

The Nominating Committee convened at 4:10 p.m. The members reported on their discussion 
with individual Trustees. There was considerable discussion regarding the needs oft he Board 
and it was agreed that the current Committee structure worked well with Chairs and Vice 
Chairs for the large committees. 

Following discussion it moved that the Committee recommend the following slate of 
nominees to the Board: 

To confirm and approve the Officers and Committee Chairs of the Board set forth 
in Doc. T96-097, all to serve until the next annual meeting of the Board. 



Chair 

Vice Chair 

Vice Chair 

Chair, Academic and Student Affairs 

Vice Chair, Academic and Student Affairs 

Chair, Administration and Finance 

Vice Chair, Administration and Finance 

Chair, Audit Committee 

Vice Chair, Audit Committee 

Chair, Athletic Committee 

Vice Chair, Athletic Committee 

Chair, Development Committee 

Chair, External Affairs Committee 

Secretary and Board Relations 



Robert S. Karam 

Robert J. Haynes 

James F. O'Leary 

Ogretta V. McNeil 

John William Poduska 

Rina K. Spence 

Grace K. Fey 

William E. Giblin 

John M. Naughton 

Daniel E. Bogan 

Michael T. Foley, M.D. 

Charles J. Hoff 

Robert S. Karam 

Elizabeth H. Tuthill Farrell 



There being no further business, the Committee adjourned at 5:00 p.m. 



^ohn M. Naughton 




A.e) 



Chair 



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i 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON OF THE WHOLE 

Tuesday, February 6, 1996; 5:00 p.m. 

Faculty Club, Healey Library 

University of Massachusetts Boston 

Boston, Massachusetts 

Committee and Committee Staff : Chair Taylor; Trustees Andriolo, Bogan, Foley, Giblin, Haynes, Hoff, 
Karam, Kraft, Lewenberg, McNeil Morrissey, Okray, O'Leary, Poduska, Reed, Rivera and Sweeney; Ms. 
Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustees Flores, Naughton, Sentance and Spence 

University Administration : President Bulger; General Counsel Kirby; Vice President Lenhardt; 
Chancellors Cressy, Hogan, Lazare, Penney and Scott 

Faculty Representative : Professors Carroll, Knight, May, Phelan and Dr. Cooke 

Guest: Ms. Alceste Pappas, Pappas Consulting Group, Inc. 

Chair Taylor convened the meeting at 5:30 p.m., and introduced Ms. Alceste Pappas of KPMG Peat 
Marwick/Pappas Consulting Group, to make a Presentation on Administrative Redesig n. 

Ms. Pappas reminded the Trustees that their work began in August with the Trustee-initiated 
objective of reallocating administrative operating costs to the academic core and investments, and 
improving service levels. The Group's work is divided into three phases: identifying diagnostic and 
current administrative costs; selecting and implementing pilot projects to provide work and systems for 
improving efficiency and effectiveness on the campuses; building a massive administrative redesign for 
the long-term. Ms. Pappas then described activities taken in Phase I in four streams of service: human 
resources, financial accounting and reporting, procurement, and student services (two areas: student 
health delivery and enrollment services). They then established teams of "co-consultants" on each 
campus to work in each area, and interviews were conducted with many people on the campuses 
regarding each of these areas. 

Reports were then generated out of these interviews, and through meetings with the co-consultants, 
and four pilot projects for Phase II were selected based on the following criteria: the project must 
produce system-wide success within a short period of time; projects would have minimal capital 
investment; each of the four streams would have its own project; each project would improve processes to 
users, develop skills among those implementing change, be visible, effective and inclusive of campus 
personnel. Ms. Pappas then identified the four pilot projects: streamline multiple steps currently 
required for hiring and putting employees on the payroll; install a procurement card across the system; 
improve the travel reimbursement process; define enrollment services across the system. Training for 
these projects will begin February 15 and 16, 1996. 

Ms. Pappas then reviewed again the broader goals of the entire Administrative Redesign project, and 
some of the complex issues that need to be addressed in the next phases of the project. Some of the 
human resource issues that will be discussed at the steering committee level in March include how to put 
a new code of ethics into the workplace and how administrative redesign will change the way people 
work and work with each other. The steering committee plans to work closely with human resource 



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administrators to anticipate needs in the area of the impact on the workplace that the administrative 
redesign project will have. They will also look at how the system will define its relationship among the 
campuses, the President's Office and Trustees, while each campus remains unique. 

Ms. Pappas stated that the four pilot projects and these broader issues will receive extensive work 
and attention through June 30, 1996. Some discussion regarding union issues and potential changes in 
the workplace was held, with Ms. Pappas stating that the consultants and co-consultants will be proactive 
about that discussion, and clearly define the process. Trustees then thanked Ms. Pappas for her extensive 
work, and Chair Taylor stated that he looks forward to hearing about the progress of the project. 

There being no further business to come before the Committee, the meeting adjourned at 5:55 p.m. 

Elizabeth H. Tuthill Farrell 
Assistant Vice President for 
Board Relations 









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UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE OF THE WHOLE 

Tuesday, December 3, 1996; 4:30 p.m. 

Faculty Conference Room 

University of Massachusetts 

Worcester , Massachusetts 

Committee and Committee Staff : Chair Karam, Trustees Andriolo, Bissonnette, Carter, Croft, Fey, Foley, 
Giblin, Haynes, Hoff, Lewenberg (arrived late), Mihos, Naughton, Sweeney 

Committee Members Absent : Trustees Arciero, Bogan, Flores, Kraft, McNeil, O'Leary, Poduska and 
Spence 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice President 
Lenhardt; Vice President Botman; Chancellors Cressy, Hogan, Penney and Scott; Provost Esposito 

Faculty Representative : Professors May, Singh and Cooke 

Chair Karam convened the meeting at 4:45 p.m. and informed the Committee that it was his intention 
to have this Committee deal with subjects of substantive value and have them discussed by the Board, the 
Chancellors and the President. He introduced the first item of the agenda, Academic 
Restructuring/Administrative Redesig n and called on Vice President Botman who introduced the 
discussion. President Bulger expressed his pleasure with the opportunity this setting will provide the 
campuses to update the Board on their activities. 

President Bulger then asked Chancellor Hogan to give the Lowell campus report. Dr. Hogan spoke 
of the restructuring process which began with the requirement to reallocate 3% per year for five years for 
a total of 15%. Academic programs were reviewed on the basis of demand, resources, of mission 
centrality and quality. Based on five strategic imperatives which included 1) stabilizing enrollments in 
long term, 2) improving physical plant, 3) implementing regional economic assistance plan, 4) enhancing 
teaching/learning and technology applications across the campus, and 5) increasing external funding, the 
campus was able to allocate a total of 20% of the core budget. This was done by decreasing the number of 
academic programs, reducing the total full and part-time payroll costs by at least 20% and a system 
redesign determined by the Pappas Report. 

Chancellor Hogan provided an update on the Academic Program Review Process: in the fall of 1993 
there had been 109 degree programs, by the end of Spring, 1994 he closed off 9 programs or 8%; from the 
Fall of 1995 to the Spring of 1996 he closed an additional five programs; finally, 6 programs are being 
recommended for closure and five programs are under a two year long review. 

He also mentioned Administrative Redesign projects that are underway: Purchasing Cards, updating 
Human Services, Travel Reimbursements, and Enrollment Services as well as a process to merge 
Admissions and Financial Aid. 

Chancellor Penney gave the report for the Boston campus. The reallocation on that campus has been 
in process since 1989. From 1988 to 1994 reductions and consolidations of programs totaled $10M while 
reallocating $18M from 1989 to 1997 which equals 23%. The reallocations that are consistent with 
Strategic Goals for 1996 are $2,327,150 and $3,287,845 for 1997. She reported that the reallocation 
decisions have resulted in the addition of 8 doctoral programs since 1988 and a major change in 



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Committee of the Whole 
December 3, 1996 

fundraising with a $50M campaign launched with $10M in hand as of 10/96. There has been significant 
growth in research and training activity through Grants and Contract income which has grown from 
approximately $6M to $16M. There has been continued growth and impact of the Urban Mission with the 
addition of 6 research institutes and a significant amount of technology enhancement in terms of the 
building of the Distance Learning capacity, fiber optic networking, the Learning Center for Training, 
expanded lab access and World Wide Web integration in instruction and administrative services. 

Chancellor Penney reported on the reduction and consolidating actions which have led to the closing 
of the 250 Stuart Street location, new academic program development from reallocated resources, 
expanded academic and student support services, and new or expanded administrative services offered. 

She also reported on the Academic Program Review Implementation and listed the undergraduate 
and graduate programs to be enhanced, stabilized or reduced. She also updated the Committee on the 
principal projects being implemented on the Boston campus during the Phase 2 Administrative Redesign 
project. 

She went on the to inform the Committee that the campus has established "The Year 2000 Strategic 
Plan" which are five strategic goals that she will be presenting at the February Board meeting. She then 
reviewed several charts showing the impact of New Revenue and Reallocations at Boston for FY1996, the 
impact of new Revenue, Realignments, and Reallocation for FY1997, and enrollment trends and personnel 
trends through FY1997. 

Chancellor Cressy gave the Dartmouth campus report informing the Committee of his campus' 
academic reprogramming and administrative reallocation goal of $6.3 Million. He spoke of the Academic 
Programs that will be enhanced and the majors /options eliminated in FY1996 totaling $514,000 and 
retirements/reallocations at totaling $1,005,000. Five majors have been eliminated and more expected for 
FY1997 with seven options to be reduced in Chemistry, Art Education, Mathematics, and Physics. Also, 
the Physics and Computer Science will be moved into the College of Engineering to support the ocean 
marine science program. 

He reported that due to merged functions and the elimination of some positions, total funds available 
for reallocation will be $339,000 per year. The campus has implemented one-stop shopping to improve 
student enrollment services, eliminated the Registrar's position, combined the administrative operations 
and introduced on-line travel and the Pro-Card. 

For FY1998 the campus plans to combine the Assistant Chancellor for Enrollment Management and 
Dean of Continuing Education, make infrastructure improvements, implement one-stop shopping for 
other student service functions such as counseling, and eliminate one special assistant to the Chancellor 
which will make funds available for reallocation of $590,000 per year. 

Chancellor Scott then reported reallocation /restructuring plans for the Amherst campus. He noted 
that his broader plan had been fully presented in October and this was a brief summary. The reallocation 
will be a more microscopic process where all areas of the campus will internally reallocate at 1% of their 
budgets every year. 

Academic review has involved reduction in faculty and consolidations of some programs. A major 
component of restructuring involves the retirement program so that by 1998, 435 people will be leaving 
the campus. 

Chancellor Scott informed the Committee that Amherst has hired Pappas Consulting Group to show 
the campus personnel how to design a system that will be effective and efficient but also reduce 
personnel costs. The administration will also be setting up a steering committee which will include broad 
representation from across the campus. 

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Committee of the Whole 
December 3, 1996 



There was a general discussion and a question and answer period between the Committee 
members and the Chancellors about the reallocation/redesign process. There was discussion about the 
collaboration between the campuses to alleviate the effect of program reductions. Chair Karam requested 
that there be a standard way of looking at program review on a yearly basis. 

President Bulger then thanked the Chancellors for their hard work implementing the 
restructuring/redesign process. 

Due to the lateness of the hour, the Worcester City Campus Corporation d/b/a University of 
Massachusetts Health System item would be considered at tomorrow's meeting of the Board. 

There being no further business to come before the Committee, the meeting adjourned at 6:20 p.m. 

Barbara F. DeVico 
Staff Assistant 



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i 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON •DARTMOUTH -LOWELL 'WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, February 7, 1996; 9:15 a.m. 

Faculty Club, Healey Library 

University of Massachusetts Boston 

Boston, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Vice Chair Haynes and Vice Chair Karam; Trustees Andriolo, 
Bogan, Flores, Foley, Giblin, Hoff, Kraft, Lewenberg, McNeil, Morrissey, Naughton, O'Leary, Okray, 
Poduska, Reed, Rivera, Spence and Sweeney; Ms. Farrell, Assistant Vice President for Board Relations 

Trustees Absent : Trustee Sentance 

University Administration : President Bulger; General Counsel Kirby; Chancellors Cressy, Hogan, 
Lazare, Penney and Scott 

Faculty Representatives : Professors Carroll, Knight, May, Phelan and Dr. Cooke 

Chair Taylor convened the meeting at 9:40 a.m. The first item on the agenda was the Consideration 
of Minutes of the previous meetings of the Board. 

It was moved, seconded and 

VOTED : To approve the minutes of the November 28 and December 6, 1995 meetings of the 
Board. 

The next item on the agenda was the Chair's Report. Chair Taylor expressed his appreciation to 
former Board member, Derek Bok who has resigned his position from the Board. Chair Taylor then read 
the following resolution of appreciation to Chancellor Penney for her hard work and dedication to the 
University as President: 

Whereas, Sherry H. Penney agreed to assume the duties of President of the 

University of Massachusetts on June 1, 1995; 

Whereas, under her guidance the University has made steady and strong 

progress on its path toward becoming a nationally recognized 
institution of excellence in all fields; 

Whereas, Sherry H. Penney carried out all responsibilities of the 

University's Presidency with effective leadership, 
professionalism and grace in a challenging time for •higher 
education in Massachusetts; 

Whereas, Sherry H. Penney has returned to the Chancellorship at UMASS 

Boston; 

Be it resolved that this Board of Trustees of the University of Massachusetts, in 
a meeting assembled this seventh day of February, 1996, does 
hereby express its sincere thanks and appreciation for the 



contributions Sherry H. Penney made to the future of this > ( 

University as its President; and V 

Be it further that the Board looks forward to working with Dr. Penney for 

resolved many years to come. 

It was moved, seconded and the motion was unanimously adopted. 

The next item on the agenda was the President's Report . President Bulger announced the completion 
of the evaluations of Chancellors Scott and Cressy both of which had positive results. The next 
evaluation will be that of Chancellor Lazare. 

Chair Taylor then introduced the Consent Agenda . It was moved, seconded and 

VOTED : To approve the following votes listed as items #a-c, on the Board Consent Agenda: 

a. Clinical Management Board Minutes, November 16, 1995 (Doc. T96-012) 

1. Clinical Management Board Minutes, October 12, 1995 

To approve the minutes of the October 12, 1995 Clinical Management Board 
meeting as recorded. 



(< 



2. Credentialling 

To accept the Credentialling Reports as per the Hospital Executive Committee 
and Health Professional Staff Credentials Committee. 

b. Clinical Management Board Minutes, December 14, 1995 (Doc. T96-013) 

1. Clinical Management Board Minutes, November 16, 1995 

To approve the minutes of the November 16, 1995 Clinical Management Board 
meeting as recorded. 

2. Performance Improvement Plan 

To approve the Performance Improvement Plan as submitted to the Clinical 
Management Board. 

3. Credentialling 

To accept the Credentialling Reports as per the Hospital Executive Committee 
and Health Professional Staff Credentials Committee, with the one correction as 
noted. 

4. Master Space Planning 

It was unanimously voted (with one abstention by Mr. William Kelleher, Jr.) to 
recommend to the Board of Trustees to authorize and direct the University 
President, the Worcester Campus Chancellor, and the Deputy Chancellor for 
Clinical Affairs to take any actions necessary to obtain the space at 328 



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Shrewsbury Street in Worcester as described in the Executive Summary for the 
use of administrative operations of the Clinical System. 

c. Audit Reports 

(Items 1-10 were approved by the Audit Committee January 10, 1996) 

1. University of Massachusetts Clinical Services Division, Management Letter for 
the Year Ended June 30, 1995, UMASS Worcester (Doc. T96-006) 

2. Report on Federal Financial Assistance Programs in Accordance with OMB 
Circular A-133, for the Year Ended June 30, 1995 (Doc. T96-004) 

3. Management Letter for the University of Massachusetts General Purpose 
Financial Audit, for the Year Ended June 30, 1995 (Doc. T96-007) 

4. WUMB-FM Radio, Financial Statements for the Year Ended June 30, 1995, 
UMASS Boston (Doc. T96-001) 

5. WUMB-FM Radio, Management Letter for the Year Ended June 30, 1995, 
UMASS Boston (Doc. T96-005) 

6. WFCR-FM and Friends of WFCR, Inc. Combined Financial Statement and 
Schedule, June 30, 1995, UMASS Amherst (Doc. T96-002) 

7. WFCR-FM and Friends of WFCR, Inc. Management Letter, FY95 Audit (Doc. 
T96-003) 

8. Continuing Education Program, Financial Statements for the Year Ended June 
30, 1995, UMASS Boston (Doc. T96-008) 

9. Continuing Education Program, Management Letter, FY95 Audit, UMASS 
Boston (Doc. T96-009) 

10. Employee Business Expense Report, UMASS Amherst ( Doc. T96-010) 

The next item on the agenda was the report of the Committee on Academic and Student Affairs. 
Trustee McNeil reported that an Appointment with Tenure, UMASS Amherst would be discussed in 
Executive Session later in the meeting. She also reported that at yesterday's meeting there had been a 
lengthy discussion on Academic Program Review Recommendations and an Update on the 
Undergraduate Admissions Policy . Associate Vice President Layton had given a presentation on an 
Alumni Survey which would be presented again later in this meeting. 

Trustee McNeil also informed the Board of the Second Technical Conference on Telecommunications 
R&D to be held on Tuesday, March 12 at the UMASS Lowell campus. With regard to the Academic 
Program Review recommendations it was noted that each campus is at a different stage of 
implementation and final recommendations are forthcoming 

She then reported that the Undergraduate Admissions Policy will be brought to the Board for 
approval after further review by the campuses and the President's Office. These guidelines were 
developed in response to the Administration and the Board's goals and direction. 

Trustee O'Leary then reported for the Committee on Administration and Finance. There had been a 
lengthy discussion on Tuition and Fees which will be brought back to the Board for action at the April 
meeting. 

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Trustee O'Leary reported that Chancellor Penney had presented an in depth report on the design and 
construction of a Campus Center, UMASS Boston . 

It was moved, seconded and 

VOTED : In accordance with Trustee policy, Doc. T93-122, to approve the design and construction 
of a Campus Center at the Boston campus as described in Doc. T96-019, provided that the 
President and Chancellor shall provide regular reports to the Board on the progress of 
said project. 

The next item was the University of Massachusetts University Commonwealth Scholars Fund . 
Trustee O'Leary explained that, at the President's request, funds previously used for the President's 
housing would be used instead for the University Commonwealth Scholars Fund. Trustee Kraft 
suggested that Trustees contribute to this fund as well. It was moved, seconded and 

VOTED : To establish an account to be called the University of Massachusetts University 
Commonwealth Scholars Fund to fund the University Commonwealth Scholars Program 
as described in Doc. T96-014, (which may be modified by the Vice President of Academic 
Affairs in consultation with the Chancellors), provided that the University Treasurer is 
authorized and directed to budget and transfer $24,000 into said account from funds 
previously used to pay the President's housing allowance; and provided further, that the 
Board hereby authorizes the Chair to continue such annual transfers in the future 
without further approval from the Board. 

The next item was the Lease with Health Alliance Burbank HospitaL It was moved, seconded and 

VOTED: To authorize and direct the President subject to approval by the Secretary of 
Administration and Finance, to take any actions necessary including filing requested 
reports under Section 36C of Chapter 75 of the General Laws and entering into a lease 
with Health Alliance to permit the Medical Center to operate a clinical residency 
program at Burbank Hospital in Fitchburg. 

The next item was the report of the Audit Committee. Trustee Giblin reported that the Committee 
had met on January 10 and ten audits had been reviewed and approved. Trustee Giblin then encouraged 
attendance at future Audit Committee meetings as this Committee is very important to the financial 
aspect of running the University. Trustee Giblin also commended the Administration for the detailed 
work that goes into the audit. process and Trustee Haynes for the attention paid to audit matters while he 
was Chair of this Committee. Trustee Giblin went on to thank Trustee Rivera for his preparedness and 
attention to the details of the audits and some very substantial questions he had raised at the last meeting. 
Several Trustees then reinforced the significance of the work performed by the Audit Committee 
members. 

Trustee Bogan then commented on behalf of the Athletic Committee on the capital outlay program 
and the allocations to Title IX. He further emphasized the Board's commitment to meet our obligations to 
Title IX and requested that the Chancellors notify the Board if more funds are needed to meet these 
requirements. 

Trustee Foley then updated the Board on two recent incidents involving UMASS athletes: Greg 
Matthews, a swimmer from the Amherst campus who passed away at a swim meet and the collapse of 
Marcus Camby, a player from the Minuteman basketball team at UMASS Amherst. In both cases, the 
very best care was provided and it was pointed out that athletes at the University are required to obtain a 
physical evaluation on a yearly basis which is more often than NCAA rules require. 



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Trustee Foley then reported on the progress of the Ad Hoc Committee on University Health Care. 
The Committee had meetings in December and January and he summarized some of the findings thus far 
as follows: throughout the University system, there are no two health services alike, services are minimal 
at some and generous at others. It has been determined that a system-wide program review be conducted 
to determine the feasibility of providing one standard set of benefits. It is recommended that the 
Committee continue its study by visiting all the campuses and researching practice at other universities. 
It is expected the Committee will come to the Board in June with a set of recommendations. 

President Bulger then spoke to the findings from the survey of 1993 UMASS graduates and his 
pleasure with the levels of satisfaction with the graduates' academic experience. Associate Vice President 
Layton then gave a presentation on the Alumni Survey. Some of the highlights included: 

•UMASS is the first choice school for almost two-thirds of its students 

•on most measures, graduates indicated high levels of satisfaction with their academic experience 

including the quality of instruction 
•a high percent were satisfied or very satisfied with student/faculty interaction 
•many graduates discovered that the quality of education at UMASS exceeded their expectations 
•almost all would recommend UMASS to a friend or family member 
•graduates were generally satisfied with the cost of attending UMASS 
•a significant number of recent graduates enroll in some kind of further education 
•almost all UMASS graduates enter the work force upon graduation and the vast majority are 

employed within Massachusetts 
•most graduates report they are satisfied with their current position 
•graduates overwhelmingly reported satisfaction with UMASS in general. 

Associate Vice President Layton noted that additional information from the survey will be analyzed. 
She then thanked the University's Institutional Research Group for the work conducted on this project. 
There was a question about the number of students working while attending UMASS; Dr. Layton 
responded that the majority of students work. Chancellor Cressy pointed out that at the Dartmouth 
campus, 50% of the students work more than 20 hours a week. 

Chair Taylor then asked for a motion to go into Executive Session to discuss an Appointment with 
Tenure, UMASS Amherst and Honorary Degrees, UMASS Boston, UMASS Lowell . He indicated that 
the Board would not reconvene in open session. 

Chair Taylor voted for the motion as did Trustees Bogan, Rores, Foley, Giblin, Haynes, Hoff, Karam, 
Kraft, Lewenberg, McNeil, Naughton, O'Leary, Poduska, Reed, Rivera and Spence. The time was 10:33 
a.m. 




thill Farrell 
Assistant Vice President for 
Board Relations 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Thursday, April 11, 1996; 9:15 a.m. 

Conference Dining Room 

University of Massachusetts 

North Dartmouth, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Vice Chairs Haynes and Karam; Trustees Bogan, Fey, Flores, 
Foley, Giblin, Hoff, Kraft, Morrissey, Naughton, O'Leary, Okray, Rivera, Spence and Sweeney; Ms. 
Farrell, Assistant Vice President for Board Relations 

Trustees Absent : Trustees Andriolo, Lewenberg, McNeil, Poduska, and Sentance 

University Administration : President Bulger; General Counsel Kirby; Vice Presidents Deck and 
Lenhardt; Chancellors, Cressy, Hogan, Lazare, Penney and Scott 

Faculty Representatives : Professors Carroll, Knight, Phelan and Dr. Cooke 

Chair Taylor convened the meeting at 9:35 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the February 7, 1996 meting of the Board. 

The next item on the agenda was the Chair's Report . Chair Taylor began by informing the Board of 
the conclusion of Mary Reed's service as a UMASS Trustee, noting that the Board office would be 
coordinating a time for the Board members to formally thank Trustee Reed for her service. Chair Taylor 
then introduced the Board's newest member, Grace Fey. He went on to recognize Student Trustee Dan 
Rivera who introduced the Amherst campus's Student Trustee for the next year, Sean Carter. Trustee 
Rivera also announced that the Amherst campus would be hosting a conference specifically focused on 
the Latino community and diversity in higher education for students from the New England states. 

Chair Taylor then reminded the Board that the Nominating Committee had approved the 
establishment of the Development Committee at the October, 1995 meeting, to lend Trustee support to the 
University's fund-raising efforts at the Foundation and the campuses. The Committee had recommended 
Trustee Hoff as Chair of that Committee, and Chair Taylor formally announced this appointment. 

The Chairman further commented on the importance of two items which the Board continues to 
review that have been worked on over the past year, the Academic Restructuring on the campuses and 
the Administrative Redesign effort. Chair Taylor thanked the Chancellors and administration for their 
leadership in these areas, as well as the Chairs of the two major Committees who continue to be involved 
in these efforts. 

The Chair then turned to President Bulger for the President's Report . President Bulger thanked 
Chancellor Cressy for hosting the Board and this meeting. He also congratulated Chancellor Scott and 
the Amherst campus for the success of the Men's Basketball team, and Chancellor Hogan for the success 
of the Ice Hockey team. The President encouraged the Chancellors to continue their efforts on the 
Administrative Redesign Project where he has been working closely with them. President Bulger also 
thanked Vice Presidents Deck, Kirby and Lenhardt for their efforts. 



Board of Trustees 
April 11, 1996 

Chair Taylor then introduced the Consent Agenda . It was moved, seconded and 

VOTED : To approve the following votes listed as items #a-e on the Board Consent Agenda: 

a. Clinical Management Board Minutes, January 11, 1996 (Doc. T96-028) 

1. Clinical Management Board Minutes, December 14, 1995 

To approve the minutes of the December 14, 1995 Clinical Management Board 
meeting as recorded. 

2. Medical Center Cableplant Project 

To recommend approval to the Clinical Management Board to expend the 
amount of $12,005,000 million for the Medical Center cableplant project as 
described in the attachments distributed to the Finance Committee. Such projects 
will provide the capability to enhance and support the systems environment at 
the Worcester campus and enable the campus to support remote sites including 
but not limited to WCCC, Shrewsbury, and Auburn sites. 

3. Credentialling 

To accept the Credentialling Reports as per the Hospital Executive Committee 
and Health Professional Staff Credentials Committee with the one correction as 
noted. 

4. Ad Hoc Committee for Self Insurance Trust 

It was approved to develop an Ad Hoc Committee for Self Insurance Trust. 

b. Clinical Management Board Minutes. February 8. 1996 (Doc. T96-038) 

1. Clinical Management Board Minutes, January 11, 1996 

To approve the minutes of the January 11, 1996 Clinical Management Board 
meeting as recorded. 

2. Study for Obstetrical Planning 

To approve continuation of the study for Obstetrical Planning. 

3. Children's Medical Center Strategic Plan Request 

To approve the Children's Medical Center Strategic Plan Request for Proposals as 
submitted subject to further review by individuals designated by the 
Chancellor/Dean and Deputy Chancellor for Clinical Affairs. 

4. Credentialling 

To accept the Credentialling Reports as per the Hospital Executive Committee 
and Health Professional Staff Credentials Committee. 



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Board of Trustees 
April 11, 1996 



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c. Audit Reports and Selection of an External Auditors Firm (Items 1-4 were 
approved by the Audit Committee March 21, 1996) 

1. Agreed-upon Procedures Report for NCAA Compliance, UMASS Amherst Dept. 
of Athletics and Intramurals as of June 30, 1995 (Doc. T96-029) 

2. Agreed-upon Procedures Report for NCAA Compliance, UMASS Amherst 
Intercollegiate Athletics Programs and Related Booster Organizations for year 
ended June 30, 1995 (Doc. T96-030) 

3. Audit Involvement Report in Hospital Business Systems Conversions (Doc. T96- 
031) 

4. To select the Auditing Firm of Coopers & Lybrand for the University's General 
Purpose Financial and OMB Circular A-133 Audit for Fiscal Years ending June 
30, 1996, 1997 and 1998 with the option to extend for Fiscal Years ending June 30, 
1999 and 2000; and further, to authorize the President or his designee to conclude 
the necessary contractual arrangements. (Doc. T96-032) 

d. Committee on Academic and Student Affairs (Item 1 was approved by the 
Committee on Academic and Student Affairs on April 2, 1996) 

1. Graduate Student Assembly Constitution, UMASS Boston 

To approve the Constitution for the Graduate Student Assembly of the 
University of Massachusetts at Boston as contained in Trustee Doc. T96-51, 
provided, however, that this approval shall remain in effect only until October 
15, 1997, at which time the Constitution shall be considered null and void unless 
the Board has prior to that date acted affirmatively to continue the Constitution 
in effect. The President and Chancellor shall review the operations of the 
Graduate Student Assembly and shall, on or before October 15, 1997, make a 
recommendation to the Board concerning continuation of the Assembly and its 
Constitution. 

e. Committee on Administration and Finance (Items 1-3 were approved by the 
Committee on Administration and Finance on April 3, 1996) 

1. Policy on Conflicts of Interest Relating to Intellectual Property and 
Commercial Ventures, the Intellectual Property Policy and the Policy on 
Faculty Consulting and Outside Activities (Docs. T96-039. T96-040, T96-047) 

In accordance with section 14A of Chapter 75 of the General Laws to adopt the 
Policy on Conflicts of Interest Relating to Intellectual Property and Commercial 
Ventures, (Doc. T96-039) the Intellectual Property Policy, (Doc. T96-040) and the 
Policy on Faculty Consulting and Outside Activities (Doc. T96-047) for the 
Worcester campus provided that under section III G the Worcester Chancellor 
may establish a different allocation of net income (other that the CVIP portion) in 
any particular instance, or, in general for the campus. And further, to direct the 
President through the Chancellors to continue to negotiate said policies at the 
Amherst, Boston, Dartmouth, and Lowell campuses, provided that until said 
policies are agreed to by the parties to the applicable collective bargaining 
agreements, employees on such campuses shall continue to be governed by the 
provisions of Chapter 268A of the General Laws, as well as campus policies 
currently in effect, when engaged in research and technology transfer. These 



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Board of Trustees 
April 11, 1996 



policies once effective for a campus shall supersede and rescind all other policies 
currently in effect in the University which are inconsistent herewith. 

2. John F. Kennedy Scholarship (Doc. T90-076, Addendum 1) 

To amend the provisions of the "John F. Kennedy Scholarship in Memory of John 
B. Crimmins" as follows: by striking the following language — "in an interest- 
earning account at a local trust or similar banking institution in South Boston" — 
and substituting therefor the following — "with other endowment funds of the 
University, expenditures from this account to be governed by the Spending Rate 
Policy" 

3. Department of Defense Exclusion List (Doc. T96-037) 

Whereas, current Department of Defense Regulations contain a provision 

making it mandatory that the Chairman of the Board, the 
President, the Secretary; and the designated Facility Security 
Officer meet the personnel clearance requirements established 
for a contractor's facility clearance; and 

Whereas, said Department of Defense Regulations permit the exclusion 

from the personnel clearance requirements of certain members of 
the Board of Trustees and other officers, provided that this action 
is recorded in the minutes. 

Now, therefore, that the Chairman of the Board, the President, the Secretary and 
be it declared, the designated Facility Security Officer at the present time do 

possess or will be processed for the required security clearance; 

and 



Be it resolved, 



Be It Resolved 
Further, 



that in the future, when any individual enters upon any duties as 
Chairman of the Board, the President, Secretary or other person 
designated as Facility Security Officer, such individual shall 
immediately make application for the required security 
clearance; and 

that the following members of the Board of Trustees and other 
officers shall not have, and can be effectively excluded from 
access to all classified information in the possession of the 
University and do not occupy positions that would enable them 
to affect adversely policies or practices in the performance of 
classified contracts for the Department of Defense or the User 
Agencies of its Industrial Security Program: 



NAME 



TITLE 



Brian Andriolo 
Daniel E. Bogan 
Grace K. Fey 
Heriberto Flores 
Michael T. Foley, M.D. 
William E. Giblin 
Robert J. Haynes 
Charles J. Hoff 



Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 



-4- 



Board of Trustees 
April 11, 1996 



fc 



• 



Robert S. Karam 
Myra H. Kraft 
Peter K. Lewenberg 
Ogretta V. McNeil 
Matthew Morrissey 
John N. Naughton 
James F. O'Leary 
John J. Okray 
John William Poduska 
Daniel Rivera 
Michael J. Sen ta nee 
Rina K. Spence 
Timothy Sweeney 



Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 



The next item on the agenda was the report of the Committee on Academic and Student Affairs. In 
the absence of Trustee McNeil, Trustee Naughton reported the items for action, the first being the 
Undergraduate Admissions Policy . Trustee Naughton stated that this policy had received the 
Committee's support, given its multi-dimensional approach to admissions decisions rather than over- 
emphasizing GPA's and standardized test scores. The Committee had discussed its concern regarding 
this policy's impact on the University's commitment to diversity, and felt that annual review of the policy 
based on information regarding admissions and subsequent student achievement would be an effective 
means of protecting that commitment. 

Vice President Deck then reviewed the University's relationship with the Higher Education 
Coordinating Council (HECC) in this area, wherein they have the authority to disapprove this policy. He 
also reminded the Board of the work done by the administration, the Committee and the Board as a 
whole in discussing this policy and identifying the best policy possible to enable the campuses to raise 
standards while protecting their interests in providing entrance to college-eligible students of various 
racial and ethnic populations in the Commonwealth. Vice President Deck noted that this policy meets the 
minimum standards recommended by the HECC, and also allows the campuses to consider motivational 
and other abilities outside of GPA and SAT scores in accepting students and predicting their success. 

Trustee Naughton further informed the Board that the Student Trustees from the undergraduate 
campuses had participated in the Committee meeting discussion, and well-represented their fellow 
students' concerns. 

Trustee Naughton then moved the adoption of the motion and it was seconded. 

Discussion regarding the policy then took place, beginning with remarks from Tyson Rose, student 
from the UMASS Dartmouth campus, who presented Chair Taylor with a petition with signatures of 
students who oppose the HECC admissions proposal. Mr. Rose then spoke to concerns for the impact on 
the diverse student populations at the University from the HECC admissions standards, asking for the 
University's support. Further discussion regarding the policy was held, with particular emphasis on the 
University's review of information in the future to improve the policy for achieving access and standards 
of success for students. 



.> 



A roll call vote was requested for the motion on the floor. It was then 

VOTED : To adopt the Policy on Undergraduate Admissions as contained in Doc. T96-034. This 
policy shall replace Doc. T83-113. 

Trustees Bogan, Fey, Giblin, Haynes, Hoff, Karam, Naughton, O'Leary, Spence and Chair Taylor all 
voted for the motion. Trustees Flores, Foley and Rivera voted against the motion. Trustees Kraft and 
Okray abstained. 



-5- 



Board of Trustees 
April 11, 1996 

The next item was the Appointment as Distinguished Professor, UMASS Amherst . Trustee 
Naughton reported that this appointment was Highly recommended and the Committee offered its 
unanimous support. Trustee Naughton also reviewed highlights from Professor MacKnight's 
distinguished background. It was moved, seconded and 

VOTED : To concur with the President in the appointment of William J. MacKnight as 
Distinguished Professor at UMASS Amherst. 

Trustee O'Leary then reported for the Committee on Administration and Finance. The first item was 
the FY1997 Tuition and Fees, and Trustee O'Leary reminded the Board of the previous years' policy of 
keeping any increases in tuition and fees equal or lower than the consumer price index (CPI). Trustee 
O'Leary cited the President's and Board's interest in continuing programs of academic reallocation and 
administrative redesign, and recommended a zero increase of tuition except at the Medical School, and 
fee increases of less than CPI, except for the Dartmouth campus. 

It was moved and seconded. Discussion followed regarding the HECC proposal of decreasing tuition 
at all public institutions of higher education and the issue of the medical school tuition; the Dartmouth 
campus exception; the importance of legislative support and the University's providing of clear 
information to the legislature; and the future of the University based on responsible planning including 
keeping tuition modifications stable with increases low. Further comments supporting the responsible 
actions of the Board were made. 

The motion on the floor was then 

VOTED : Whereas, in order to balance the need to provide a quality higher education with 

the need to provide access to higher education, the Board intends to keep 
total tuition and mandatory fee increases for 1996-97 to an amount no 
higher than the increase in consumer price index. 

Now Therefore, in accordance with Section 1A of Chapter 75 with 
Section 9 (i) of Chapter 15A of the General Laws, to recommend to the 
Higher Education Coordinating Council that the tuition for the 
University campuses for Academic Year 1996-1997 shall be as follows: 



< 



-6- 



Board of Trustees 
April 11, 1996 



Tuition: 



Amherst 
Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 

Boston 
Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 

Dartmouth 

Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 

Lowell 
Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 



From 
AY 1996 



$2,220.00 
$8,566.00 
$2,778.00 
$8,566.00 



$2,220.00 
$8,568.00 
$2,778.00 
$8,568.00 



$1,836.00 
$6,919.00 
$2,206.00 
$6,919.00 



$1,884.00 
$7,028.00 
$2,260.00 
$7,028.00 



Worcester 

Medical School (Current Students) $8,792.00 

Medical School (Incoming Students) $8,792.00 

^Graduate (Mass. resident) $2,738.00 

""Graduate (non-resident) $8,566.00 



To 

AY 1997 



$2,220.00 
$8,566.00 
$2,778.00 
$8,566.00 



$2,220.00 
$8,568.00 
$2,778.00 
$8,568.00 



$1,836.00 
$6,919.00 
$2,206.00 
$6,919.00 



$1,884.00 
$7,028.00 
$2,260.00 
$7,028.00 



$9,800.00 

$10,800.00 

$2,738.00 

$8,566.00 



Annual 
Dollar % 
Change 



$0.00 
$0.00 
$0.00 
$0.00 



$0.00 
$0.00 
$0.00 
$0.00 



$0.00 
$0.00 
$0.00 
$0.00 



$0.00 
$0.00 
$0.00 
$0.00 



$1,008.00 

$2,008.00 

$0.00 

$0.00 



Change 

0.0% 
0.0% 
0.0% 
0.0% 



0.0% 
0.0% 
0.0% 
0.0% 



0.0% 
0.0% 
0.0% 

0.0% 



0.0% 
0.0% 
0.0% 

0.0% 



11.5% 

22.8% 

0.0% 

0.0% 



i 



And further, in accordance with Section 1 A of Chapter 75 of the General Laws, to establish and approve 
the fees and the fee-based budgets for Academic Year 1996-97 as listed in Doc. T96-042, including the 
following: 



-7- 



Board of Trustees 
April 11, 1996 



Curriculum Fees: 



( 



Amherst 
Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 

Boston 
Undergraduate 
Graduate 

Dartmouth 
Undergraduate (Mass. resident) 
Undergraduate (non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 

Lowell 
Undergraduate (Mass. resident) 
Undergraduate(non-resident) 
Graduate (Mass. resident) 
Graduate (non-resident) 



Worcester 

Medical Students 

Graduate School of Nursing 

Graduate School of Biomedical Scienci $330.00 



From 
AY 1996 


To 

AY 1997 


Annual 
Dollar % 
Change 


Cha 


$2,031.00 
$2,031.00 
$1,714.00 
$1,714.00 


$2031.00 
$2,065.00 
$1,714.00 
$1,748.00 


$0.00 

$34.00 

$0.00 

$34.00 


0.0% 
1.7% 
0.0% 
2.0% 


$1,876.00 
$1,876.00 


$1,936.00 
$1,936.00 


$60.00 
$60.00 


3.2% 
3.2% 


$1,953.00 
$2,967.00 
$2,111.00 
$2,967.00 


$2,074.00 
$3,260.00 
$2,245.00 
$3,260.00 


$121.00 
$293.00 
$134.00 

$293.00 


6.2% 
9.9% 
6.3% 
9.9% 


$2,646.00 
$2,646.00 
$2,646.00 
$2,646.00 


$2,646.00 
$2,646.00 
$2,646.00 
$2,646.00 


$0.00 
$0.00 
$0.00 
$0.00 


0.0% 
0.0% 
0.0% 
0.0% 


$1,250.00 

$1,250.00 

$330.00 


$1,250.00 

$1,250.00 

$330.00 


$0.00 
$0.00 

$0.00 


0.0% 
0.0% 
0.0% 



( 



( 



-8- 



& 



Board of Trustees 
April 11, 1996 

Mandatory Fees: 



• 



Amherst 
Undergraduate 
Graduate 

Boston 
Undergraduate 
Graduate 

Dartmouth 
Undergraduate 
Graduate 

Lowell 
Undergraduate 
Graduate 

Worcester 

Medical School, Year 1 & 2 
Medical School, Year 3 & 4 
Graduate - Nursing School 
Graduate School of Biomedical Sci. 







Annual 




From 


To 


Dollar % 




AY 1996 


AY 1997 


Change 


Ch< 


$1,263.00 


$1,273.00 


$10.00 


0.8% 


$1,051.00 


$1,059.00 


' $8.00 


0.8% 


$304.00 


$298.00 


($6.00) 


-2.0% 


$304.00 


$298.00 


($6.00) 


-2.0% 


$333.00 


$333.00 


$0.00 


0.0% 


$333.00 


$333.00 


$0.00 


0.0% 


$76.00 


$76.00 


$0.00 


0.0% 


$76.00 


$76.00 


$0.00 


0.0% 


$470.00 


$490.00 


$20.00 


4.3% 


$470.00 


$490.00 


$20.00 


4.3% 


$470.00 


$490.00 


$20.00 


4.3% 


$420.00 


$440.00 


$20.00 


4.8% 



-9- 



Board of Trustees 
April 11, 1996 

Room and Board: 





From 


To 


Annual 
Dollar % 






AY 1996 


AY 1997 


Change 


Cha 


Amherst 
Average Room 


$2,376.00 


$2,416.00 


$40.00 


1.7% 


Average Board 


$1,812.00 


$1,812.00 


$0.00 


0.0% 


Dartmouth 










Average Room 


$2,628.00 


$2,676.00 


$48.00 


1.8% 


Average Board 


$2,067.00 


$2,150.00 


$83.00 


4.0% 


Residential Telecommunications 


$0.00 


$150.00 


$150.00 


N/A 


Lowell 










Average Room 


$2,460.00 


$2,520.00 


$60.00 


2.4% 


Average Board 


$1,886.00 


$1,940.00 


$54.00 


2.9% 


Residential Telecommunications 


$100.00 


$110.00 


$10.00 


10.0% 



Provided, however, that such rates shall be subject to ratification by the University of Massachusetts 
Building Authority as required by applicable law or trust agreements. 

Trustee Okray voted against the motion. 

Trustee Giblin then reported for the Audit Committee, stating that the actions taken at the Committee 
meeting held on March 21 had been taken up on the Consent Agenda. He reported that the Committee 
had recommended the selection of Coopers & Lybrand as the firm which will conduct the University's 
A-133 audit. 

Trustee Bogan then reported on the Committee on Athletics, held on April 3. The Committee 
congratulated the UMASS Amherst men's basketball team and UMASS Lowell ice hockey team for their 
successes, citing the awards given to several individuals. Trustee Bogan reported that the Committee had 
an extensive discussion regarding the Title IX capital projects, the completion of which is of great concern 
to the Committee, and said that President Bulger would be working with the campuses to ensure that 
these projects will be undertaken. The Committee had also heard a status report on the selection of an 
athletic director at UMASS Dartmouth. The UMASS Dartmouth ice hockey and men's basketball teams 
were also congratulated for successful seasons. 

The next item on the agenda under Other Business was the adoption of restated articles for the 
Worcester City Campus Corporation . 

It was moved and seconded. General Counsel Kirby then provided background information 
regarding the vote. Chair Taylor then spoke to the strong leadership of the Clinical System and, in 
conjunction, the Worcester City Campus Corporation. 

VOTED : To adopt the Restated Articles of Organization for Worcester City Campus Corporation 
d/b/a UMASS Health System and authorize the Board of Directors to take all necessary 
actions for filing with the Massachusetts Secretary of State. 



I 



-10- 



%■' 



• 



i 



Board of Trustees 
April 11, 1996 

The next item on the agenda was the Appointment of Secretary to the Board of Trustees . 

It was moved, seconded and 

VOTED : To appoint Elizabeth H. Tu thill Farrell as Secretary to the Board of Trustees and 
Certifying Officer of the University, provided that in the absence of the Secretary, the 
General Counsel shall serve as Certifying Officer. 

Chair Taylor then asked for a motion to go into Executive Session to discuss Appointment with 
Tenure, UMASS Worcester, Consideration of Tenure Cases, UMASS Amherst, UMASS Boston, 
UMASS Lowell and Honorary Degrees, UMASS Dartmouth, UMASS Worcester . Chair Taylor stated 
that the Board would not reenter open session. Trustees Bogan, Fey, Flores, Foley, Giblin, Haynes, Hoff, 
Karam, Kraft, Naughton, Okray, O'Leary, Rivera, Spence and Chair Taylor all voted for the motion. The 
time was 10:40 a.m. 

£HWiAr|eure{) 

Elizabeth H. Tutttill Farrell 
Secretary to Board of Trustees 



-11- 



c 



I 



^ UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE SPECIAL MEETING OF THE 

BOARD OF TRUSTEES 

Tuesday, April 30, 1996; 11:30 a.m. 

Pierson Room, Union Club 

Boston, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Vice Chairs Haynes and Karam; Trustees Andriolo, Foley, 
Kraft, Lewenberg, Okray, O'Leary, Poduska; Ms. Farrell, Secretary to the Board 

Trustees Absent : Trustees Bogan, Fey, Flores Giblin, Hoff, McNeil, Morrissey, Naughton, Rivera, 
Sentance, Spence, Sweeney 

University Administration : General Counsel Kirby 

Chair Taylor called the meeting to order at 11:35 a.m. and asked for a motion to enter into 
Executive Session to consider the award of an honorary degree at UMASS Amherst, the sole agenda 
item for the meeting. 

It was moved, seconded and 

■£ VOTED : To enter into Executive Session to consider the award of an honorary degree at 

UMASS Amherst. 

Trustees Foley, Haynes, Karam, Kraft, Lewenberg, Okray, O'Leary, and Poduska all voted for the 
motion, as did Chair Taylor. The time was 11:35 a.m. 

At 11:40 a.m. the Board reconvened in open session. It was then moved, seconded and 

VOTED : To award an Honorary Degree to the individual agreed upon in Executive Session 
and to instruct the Chancellor to proceed with the necessary arrangements. 

There being no further business to come before the Board, the meeting was adjourned at 11:40 
a.m. 



Elizabeth H. Tuthill Farrell 
Secretary to the Board of Trustees 



i) 



I 



( 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, June 5, 1996; 9:15 a.m. 

Press Room, Parker House Hotel 

Boston, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Vice Chairs Haynes and Karam; Trustees Andriolo, Bogan, 
Fey, Flores, Foley, Giblin, Hoff, Lewenberg, McNeil, Morrissey, Naughton, Okray, Poduska, Rivera, 
Spence and Sweeney; Ms. Farrell, Secretary to the Board 

Trustees Absent : Trustees Kraft, O'Leary and Sentance 

University Administration : President Bulger; General Counsel Kirby; Vice Presidents Chmura, Deck and 
Lenhardt; Associate Vice President Layton; Chancellors, Cressy, Hogan, Lazare, Penney and Scott 

Faculty Representatives : Professors Knight, May and Phelan 

Chair Taylor convened the meeting at 9:40 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meetings of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the April 11, 1996 and April 30, 1996 meetings of the Board. 

The next item on the agenda was the Chair's Report . Chair Taylor introduced the three new 
students, Sean Carter, UMASS Amherst, David Croft, UMASS Boston, and James Arciero, UMASS 
Dartmouth, who would serve as Trustees on the Board beginning July 1, 1996, through June 30, 1997. 
Chair Taylor then thanked the three students who would be leaving the Board, Daniel Rivera, John 
Okray, and Matt Morrissey, and presented a token of the Board's appreciation to them for their 
dedication to the University. He further recognized Brian Andriolo and Timothy Sweeney who would be 
continuing their service as Trustees for another year. 

The next item on the agenda was the President's Report . President Bulger reported on two major 
funding events, a $46 million training contract through the Department of Defense, and a license 
agreement with Pasteur Merieux by the Medical School for disease vaccines which could amount to a 
significant amount of funds over the term of the license. Regarding the budget, the President reported 
that the Senate had recommended an 8% increase for the University over FY96 in the amount of $375 
million (compared with the $367 million recommended by the House); the Senate budget also includes 
language for a $25 million incentive marketing program for fundraising. The President also said that the 
Administrative Redesign Program was progressing, and that he and the Chancellors would be meeting 
with Alceste Pappas at the end of June to prepare for the end of June report. The President further stated 
that the Capital Plan would be presented for vote at the Administration and Finance report, which is a 
major step forward for the University. The President also announced that Trustee Lewenberg is the new 
chair of the new UMASS Building Authority and thanked him for his service. He went on to commend 
the campuses for the excellent work done at all Commencements recently held. 

Chair Taylor then introduced the Consent Agenda. It was moved, seconded and 



<> 



Board of Trustees 
June 5, 1996 



VOTED : To approve the following votes listed as items #a-c on the Board Consent Agenda: 

a. Clinical Management Board Minutes. March 14. 1996 (Doc. T96-053) 

1. Clinical Management Board Minutes, February 8, 1996 

To approve the minutes of the February 8, 1996 Clinical Management Board 
meeting as recorded. 

2. Self Insurance Trust Fund 

To authorize the Chancellor of the University of Massachusetts at Worcester, 
with the joint approvals of the President and Chairman of the Board of Trustees 
of the University and the Chairman of the Clinical Management Board, to pay, 
including from the Self Insurance Trust Fund, such amounts as he deems 
appropriate by reason of (1) the Trust's self insuring twenty percent of the first 
excess layer in fiscal 1986, (2) the insolvency of the KWELM Companies, and/or 
(3) the discrepancy between the primary limits of the Trust in the occurrence 
years (fiscal) 1986, 1987, 1988 and 1989 and the excess limits applicable in the 
year in which claims against those occurrences may have been made. The 
Chancellor is further authorized to execute any documents necessary to carry out 
the purposes of this vote. The Chancellor shall inform the Clinical Management 
Board in writing at its next subsequent meeting following execution of any 
documents or payment of any amounts pursuant to this authorization. 

3. Credentialling Reports 

To accept the Credentialling Reports as recommended by the Hospital Executive 
Committee and Health Professional Staff Credentials Committee. 

4. Ambulatory Space Expansion 

To recommend that the Board of Trustees authorize and direct the University 
President, the Worcester Campus Chancellor, and the Deputy Chancellor for 
Clinical Affairs to take any actions necessary to utilize the space known as the 
Farmhouse in the BioTechnology Research Park, as described in the Executive 
Summary for the use by the Clinical System for psychiatry, mental health, and 
other outpatient services and office space. 

b. Clinical Management Board Minutes. April 25. 1996 (Doc. T96-075) 

1. Clinical Management Board Minutes. March 14, 1996 

To approve the minutes of the March 14, 1996 Clinical Management Board 
meeting as recorded. 

2. Credentialling Reports 

To accept the credentialling reports as recommended by the Hospital Executive 
Committee and Health Professional Staff Credentials Committee. 



Board of Trustees 
June 5, 1996 



3. February and March. 1996 Financial Statements 

To approve the Finance Committee Report including the February and March, 
1996 Financial Statements as presented by the Finance Committee Chairman, Mr. 
Stephen Lenhardt. 

c. Committee on Administration and Finance (Items 1-2 were approved by the 
Committee on Administration and Finance on May 29. 1996) 

1. Adoption of the Policy on Conflict of Interest Relating to the Intellectual 
Property and Commercial Ventures, t he Intellectual Property Policy, and the 
Policy on Faculty Consulting and Outside Activities. UMASS Lowell 

In accordance with section 14 A of Chapter 75 of the General Laws to adopt the 
Policy on Conflict of Interest relating to Intellectual Property and Commercial 
Ventures (Doc. T96-039A), the Intellectual Property Policy (Doc. T96-040), and 
the Policy on Faculty Consulting and Outside Activities (Doc. T96-047) for the 
Lowell campus. 

2. Capitalization and Inventory Control Policy 

To approve the Capitalization and Inventory Control Policy as contained in Doc. 
T96-073, and to direct the President to formulate guidelines to assist the 
campuses in implementing the policy; further, to rescind the Equipment 
Inventory Policy in Doc. T9 1-074. 

The next item on the agenda was the report of the Committee on Academic and Student Affairs. 
Trustee McNeil identified the first item for action, the Ph.D. in Biomedical Engineering and Medical 
Physics (Stage II), UMASS Worcester, Worcester Polytechnic Institute, and asked Associate Vice 
President Layton to address this item. Associate Vice President Layton reported that this program 
formalizes a long held collaboration between the two campuses, it does not demand new resources from 
either institution but does have the potential for bringing new sources of funds to support this area. 

It was moved, seconded and 

VOTED : To approve the Stage II proposal for a Joint Ph.D. Program in Biomedical Engineering 
and Medical Physics at the University of Massachusetts Worcester and Worcester 
Polytechnic Institute, as contained in Doc. T95-090, Addendum 1. 

The next item was the B.S. in Earth Systems, University of Massachusetts Amherst (Stage I & II 
combined) . Trustee McNeil turned to Associate Vice President Layton who provided an overview of the 
proposed program which doesn't call for new resources, and reflects the interdisciplinary nature of the 
current programs in the department of Geosciences. Trustee McNeil commended the department for its 
work in developing a program that would interest many students, particularly ALANA students and 
women. 

It was moved, seconded and 

VOTED : To approve the Stage I and II consolidated proposal for a B.S. in Earth Systems at the 
University of Massachusetts Amherst, as contained in Doc. T96-071. 



-3- 



Board of Trustees 
June 5, 1996 

The next item was the Amendment to Code of Student Conduct, UMASS Boston . Trustee McNeil 
noted that this item was brought to the Committee and subsequently after a split vote, to the Board for 
consideration. The members of the Board expressed their interest in hearing more from the other 
campuses, as well as from the Administration on each campus regarding this vote before changing the 
policy. Several Trustees and President Bulger stated their support for fully reviewing this matter, and 
President Bulger asked to have the input of all Chancellors on this matter. After much discussion, 
Trustee Okray asked for a vote to table this motion to the October meeting of the Board. 

It was then moved, seconded and 

VOTED : To table consideration of the Amendment to Code of Student Conduct. UMASS Boston 
as contained in Doc. T94-059 until the October, 1996 meeting of the Board of Trustees. 

Trustee McNeil then reported on the other items discussed at the Committee meeting, including 
Academic Program Review initiatives, which are proceeding on schedule. The Committee also heard 
reports on Fall 1996 enrollments, and a report from Vice President Chmura regarding the STrategic 
Envirotechnology Partnership (STEP) program. 

Chair Taylor then gave the report of the Committee on Administration and Finance, noting that 
several action items would be considered, but also said that the Committee had heard a positive report 
from the Investment Subcommittee, and also heard information regarding Fair Share Funding legislation 
supported by Senator Rosenberg. Chair Taylor noted that on the consent agenda the Board had approved 
two items that had come before the Committee, including the technology transfer policies for UMASS 
Lowell, the second campus to adopt the policies, while the other campuses are in the negotiation process. 

Chair Taylor then introduced the first item, the Authorization for Expenditure of Funds in FY 1997, 
a matter considered every year. 

It was moved, seconded and 

VOTED : To authorize the President to expend at the FY 1996 rate, state and non-state funds for the 
University from July 1, 1996 until such time as the Board adopts the Operating Budget for 
FY 1997. 

The next item was the Transfer of Funds to Lowell Arena,, Commission for Hockey Arena . 
Chancellor Hogan announced that the bids for the arena were opened yesterday and were in the range of 
monies available. He further stated that, in conjunction with other planned projects, the campus and the 
city continue to work closely for the benefit of both. It was moved, seconded and 

VOTED : To authorize the President or the President's designee to continue negotiations with the 
City of Lowell and the Lowell Arena and Civic Stadium Commission regarding the 
design and use of an arena, through a long-term lease, by the University of 
Massachusetts Lowell, and to authorize the President to authorize the Chancellor for the 
Lowell campus to transfer campus funds not to exceed four million dollars to the Lowell 
Arena and Civic Stadium Commission, in accordance with Section 3.0 of the 
Memorandum of Understanding between the University of Massachusetts Lowell and 
the Lowell Arena and Civic Stadium Commission. 

The Board members commented on the success of the campus in pursuing this project, and 
congratulated the campus and the city on this action. Trustee Andriolo also thanked the Trustees who 
have been involved in this process, particularly the members of the Athletic Committee. 



-4- 



Board of Trustees 
June 5, 1996 

The next item was the FY 1997 Revenue-Based Budg ets. Vice President Lenhardt reminded the 
Board that these budgets constitute the second stage of budget approvals for the year, with approval of all 
revenue budgets which exceed $500,000. All of the budgets do have a positive balance. 

It was moved and seconded. Trustee Okray then expressed his concern for the lack of consideration 
of the parking fee in this vote where he had requested a change in the parking fee. 

It was then 

VOTED : To approve the budgets and fee structures for the FY 1997 Revenue-Based Budgets at the 
Amherst, Boston, Dartmouth, Lowell, and Worcester campuses, and for Central 
Administrative Services, as described in Doc. T96-055, and further, to approve the 
establishment of the Planning Services Trust Fund and the Student Affairs Support Trust 
Fund at the Amherst campus, and the CAS Sales and Services Trust Fund for Central 
Administrative Services and their associated statements of trust, and further, to approve 
changes in trust names as appear in said document. 

Trustee Okray is noted as being opposed to the motion. 

The next item was the Transfer of Funds to Quasi-Endowment, UMASS Amherst . Vice President 
Lenhardt reported that the Amherst campus was designating funds from the licensing program to be 
transferred to the endowment and the campus would receive the annual revenue and increase in the 
principle which increases the overall assets of the campus. 

It was moved and seconded. Trustees commended the administrators of the licensing program for its 
success and benefits seen on all campuses, but well-reflected in this motion. 

It was then 

VOTED : To authorize the President or his designee to request the University of Massachusetts 
Foundation to establish a new quasi-endowment for the Amherst campus, provided that 
expenditures from said endowment shall be unrestricted and shall be subject to the 
University of Massachusetts Foundation Spending Rate Policy, and further, to approve 
the transfer of $350,000 in Amherst campus licensing revenues to fund said endowment 
(Doc. T96-058). 

The next item was the Lease Agreement with Naval Station, UMASS Dartmouth . Chancellor Cressy 
described the building that the campus would be leasing and programs that the building would house. It 
was moved, seconded and 

VOTED : To delegate to the President who may sub-delegate to the Chancellor for the Dartmouth 
campus the authority, with the approval of the Division of Capital Planning and 
Operations, to lease for a nominal sum the Naval Reserve Training Building in New 
Bedford for use as classroom offices and laboratories by the Marine Science Technology 
Program at the Dartmouth campus. 

The next item was the Approval of Capital Program . Chair Taylor referred the members to the 
information distributed in their packets describing the plan. Chair Taylor commended the President, Vice 
President Lenhardt and the Chancellors for this major step. He further commented on the Trustees 
concern for continued classroom maintenance. 



-5- 



Board of Trustees 
June 5, 1996 

It was moved and seconded. Some discussion regarding clarification of plans for classroom 
maintenance was held. Trustee Okray then expressed concern for the funding plans for the campus 
center in light of conversations he had with particular legislators regarding funds for the building. Some 
discussion regarding this was held. Deputy Chancellor MacCormack spoke to the careful planning that 
has gone into the campus center financing, including fundraising and other means for defraying the cost 
to students. The Trustees expressed their support for the program as a whole, and for the building of the 
campus center in particular, thanking the campuses for balancing safety and maintenance concerns with 
new construction interests. 

Trustee Flores then moved the question. It was seconded and 

VOTED : To move the question, A pproval of the Capital Program . 

It was then 

VOTED : To approve the Capital Program Projects list, provided that the President is authorized to 
amend said list as he may deem to be in the best interest of the University except for new 
construction projects which shall require Board approval; and to authorize the President 
to take all steps necessary and appropriate to provide two hundred seventeen million 
dollars ($217 million) in capital funds over the next five years for the University-financed 
portion of the list. 

Trustee Okray is noted as opposing the motion. 

The next item was the Campus Center Fee, UMASS Boston . It was moved and seconded. 

Trustee Okray expressed concern regarding the working of the motion in regards to the imposition of 
the campus center fee. The motion was amended to reflect this concern. 

It was moved, seconded and VOTED to amend the motion. 

It was then 

VOTED : To approve the establishment of a Campus Center Trust Fund at the Boston campus, in 
order to meet the need for a dedicated source of revenue to support the debt service to be 
incurred in constructing the Campus Center; further, to authorize the imposition 
beginning the first semester in which the Campus Center is open of a Campus Center Fee 
on all students at the Boston campus, not to exceed the rates set forth in Doc. T96-019. All 
revenues from the Campus Center Fee shall be deposited in the Campus Center Trust 
Fund. 

The next item on the agenda was a report of the Development Committee. Trustee Hoff reported that 
the Committee had held a meeting, other members on the Committee being Trustees Fey, Karam, Kraft, 
and Naughton. The Committee discussed its role in fundraising, strategies for system-wide fundraising, 
and the role of the Foundation. Trustee Hoff also said that the Committee had discussed holding a 
fundraising dinner in mid-November, and plans to offer a full report in coming months following 
discussions which would include the Chancellors and the Development Directors. 

The next item on the agenda under Other Business was the Amendments to the Honorary Deg ree 
Policy . Chair Taylor noted that this amendment to the policy reflects current practice. It was moved, 
seconded and 



-6- 



Board of Trustees 
June 5, 1996 



VOTED: To approve the following amendments to the Honorary Degree Policy: 

Procedures. #1,(3) 

By striking the words "for consideration by the Executive Committee" in the second 

sentence and the words "on recommendations of the Executive Committee" in the third 

sentence. 

The next item on the agenda was the Waiver of Student Trustee Election Policy, UMASS Worcester . 
It was moved, seconded and 

VOTED: To waive the Student Trustee Election Policy deadline date listed in Doc. T91-133B at the 
University of Massachusetts Worcester for the 1996 election. 

The next item on the agenda was the Amendments to the By-Laws . General Counsel Kirby reviewed 
the proposed changes particularly those which move the annual meeting of the Board, when it elects its 
officers, to the August Board meeting, thereby coinciding with Trustee terms. It was moved, seconded 
and 

VOTED: To approve the following amendments to the By-Laws of the Board of Trustees of the 
University of Massachusetts: 

Article II, Meetings of the Board, is hereby amended in the following manner: 

Section 1(a) 

By replacing the word "October" with the word "August". 

Article III, Committees of the Board, is hereby amended in the following manner: 

Section 4(b) 

By striking the last sentence and replacing it with the following new sentences: 

"An individual speaker is permitted to speak at the pleasure of the Chair for a maximum 

of three (3) minutes. The speaker's presentation may be supplemented by written 

material provided to the Secretary." 

Article IV, Nominating and Special Committees, is hereby amended in the following 
manner: 

Section 1(a) 

The word "August" is replaced with the word "June" in the first sentence: the word 
"three" is replaced with the words "not less than three nor more than five" in said 
sentence; and the words "the annual meeting" are replaced with the words "appointment 
of a new Nominating Committee in June of in the second sentence." 

The next item on the agenda was the Appointment of the Nominating Committee . Chair Taylor 
reminded the Board that the appointment of this Committee falls to the Chair, and said that after 
discussions with many Trustees the Committee would include Trustees Giblin, Flores and Spence, with 
Trustee Naughton as chair and Chair Taylor as ex officio member. Chair Taylor encouraged Board 
members to consider discussion with these Committee members as an opportunity to review expectations 
of officers and also to enable the Board to function better and more efficiently. He further stated that the 
views of all members would be solicited. Some discussion regarding involvement of student Trustees 
was held, and student Trustees were encouraged, as other Trustees, to communicate their views to 
Committee members. 



-7- 



Board of Trustees 
June 5, 1996 



Chair Taylor then asked for a motion to go into Executive Session to discuss Awards of Tenure,. 
TIM ASS Amherst UMASS Boston and A ppointment s with Tenure, UMASS Amhers t UMASS Boston . 
He indicated that the Board would not reconvene in open session. 

Chair Taylor voted for the motion as did Trustees Bogan, Fey, Flores, Foley, Giblin, Haynes, Karam, 
Lewenberg, McNeil, Naughton, Okray, Poduska, Rivera and Spence. The time was 11:05 a.m. 



Elizabeth H. Tuthill Farrell * A 

Secretary to the Board of Trustees 



-8- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST •BOSTON 'DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, August 7, 1996; 9:15 a.m. 

Durgin Hall, Fisher Recital Hall 

University of Massachusetts 

Lowell, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Arciero, Bogan, Carter, Croft, Flores, Foley, 
Giblin, Haynes Hoff, Karam, Kraft, Lewenberg, McNeil, Naughton, O'Leary, Spence and Sweeney 

Trustees Absent : Trustees Fey and Poduska 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice Presidents 
Deck and Lenhardt; Chancellors Cressy, Hogan, Lazare, Penney and Scott; Ms. Valerie Uber, University 
Budget Director 

Faculty Representatives : Professors Carroll, Singh and Phelan 

Chair Taylor convened the meeting at 9:35 a.m. The first order of business was Consideration of 
Minutes of the previous meeting of the Board. 

It was moved, seconded and 

VOTED : To approve the minutes of the June 5, 1996 meeting of the Board. 

The next item on the agenda was the President's Report . The President reported that Chair Taylor 
would be stepping down as Chair after this meeting and that his three years serving as Chair served the 
University well and that more on this subject would be discussed later in the meeting. 

President Bulger then thanked Joseph Deck, Interim Vice President for Academic Affairs for his help 
and friendship during the past seven months and expressed his best wishes on his return to the faculty at 
the Dartmouth campus. 

He then spoke of the 7.2 % increase in state budget funds for FY1997, the signing of the $15 million 
Information Technology Bond Bill and the Massachusetts BioLogic Laboratory which has been 
transferred to the jurisdiction of the University. 

President Bulger then spoke of the completion of the evaluation of Chancellor Aaron Lazare at the 
Worcester campus. He first thanked the Evaluation Committee and everyone that participated in the 
process including John DiBiaggio, President of Tufts University, David Greer, Dean Emeritus of the 
Brown University Medical School and Trustee William Giblin. The review concluded that Chancellor 
Lazare is a very able Chancellor, a very competent administrator and a very strong leader. It was pointed 
out that Chancellor Lazare could continue to count on strong support from the President's Office and the 
Trustee in the years to come. 

President Bulger also commended Chancellor Hogan and the Lowell campus for the new arena, 
progress on the baseball stadium and student center and for the work being done to revitalize the great 
city of Lowell. 



Board of Trustees 
August 7, 1996 

Chair Taylor then congratulated Chancellor Hogan on the opening of the downtown Book Store and 
offered his personal thanks to Vice President Deck for his contributions to the Board and the University. 
He then welcomed new Student Trustees Arciero, Carter and Croft and welcomed back Trustees 
Andriolo and Sweeney. 

Chair Taylor then introduced the Consent Agenda. It was moved, seconded and 

VOTED : To approve the following votes listed as items #a-c, on the Board Consent Agenda: 

a. Clinical Management Board Minutes, May 23, 1996 (Doc. T96-095) 

1. Clinical Management Board Minutes, April 25, 1996 

To approve the minutes of the April 25, 1996 Clinical Management Board 
meeting with one correction as noted. 

2. Medical Staff By-Laws 

To approve the Medical Staff Bylaw changes as recommended by the By-Law 
Committee. 

3. Credentialling Report 

To approve the credentialling report as recommended by the Hospital Executive 
Committee and Health Professional Staff Credentials Committee. 

4. Finance Committee Report 

To approve the Finance Committee Report including the April, 1996 Financial 
Statements as presented by Finance Committee Chairman, Mr. Stephen Lenhardt. 

b. Committee on Administration and Finance 

1. Approval of Endowment Funds, UMASS Amherst 

• W. S. Clark Memorial Fund 

In acceptance with section lA(e) and 11 of Chapter 75 of the General Laws to 
establish the W.S. Clark Memorial Fund at Amherst to provide for the 
maintenance and conservation of the W.S. Clark Memorial Site as more fully set 
forth in T96-088. 

•Ann Hassett Memorial Fund 

In accordance with section lA(e) and 11 of Chapter 75 of the General Laws to 
establish the Ann Hassett Memorial Fund at Amherst for the purpose of 
providing a four year scholarship to an underprivileged and intellectually gifted 
student from Springfield as more fully set forth in T96-089 provided that the 
Chancellor is hereby delegated authority to select recipients and terminate 
assistance to recipients who fail to meet the stated criteria. 



Board of Trustees 
August 7, 1996 

•Richard Jones Endowment Fund 

In accordance with sections lA(e) and 11 of Chapter 75 of the General Laws to 
establish the Richard Jones Endowment Fund at Amherst to provide awards to 
undergraduates majoring in dance as more fully set forth in T96-093. 

•Helen Timson Scholarship Fund 

In accordance with sections lA(e) and 11 of Chapter 75 of the General Laws to 
establish the Helen Timson Scholarship Fund at Amherst to provide scholarships 
to students within the School of Education as more fully set forth in T96-094. 

c. Audit Reports 

1. Departmental Gift Accounts - Administration and Control, UMASS Amherst 
(Doc. T96-076) 

2. Student Activities Trust Fund - Registered Student Organizations, UMASS 
Amherst (Doc. T96-077) 

3. Vehicle Fuels Control Survey, UMASS Amherst (Doc. T96-078) 

4. Report on Medical Claims Administration, Operational Procedures and 
Adjudication Process for the Supplemental Health Benefits Plan, 1995, 
UMASS Amherst (Doc. T96-079) 

5. Employee Business Expense - Administration and Control, UMASS Boston 
(Doc. T96-082) 

The next item on the agenda was the report of the Committee on Academic and Student Affairs. 
Trustee McNeil on behalf of the Committee thanked Vice President Deck for his work with Academic 
Affairs. 

Trustee McNeil reported that Awards of Tenure, UMASS Amherst, UMASS Boston, UMASS 
Dartmouth and UMASS Lowell and Appointments with Tenure, UMASS Amherst, UMASS Lowell 
and UMASS Worcester would be discussed in Executive Session later in the meeting. She then reported 
that at the last meeting there had been a lengthy discussion on the Policy on Centers and Institutes. It 
was moved, seconded and 

VOTED : To approve the University of Massachusetts Policy on Centers and Institutes as contained 
in Doc. T96-096, as amended. 

Trustee McNeil then reported that the Committee had heard an Update on the Future of Engineering 
Study detailing the progress that has been made since the report had first been commissioned. 

The next item was the Appointment as Distinguished Professor. UMASS Amherst . Trustee McNeil 
reported that Professor Mcintosh has been with the UMASS faculty since 1967 and has been a nationally 
prominent and productive scientist with numerous journal publications, conference papers and is 
considered a highly effective teacher. She also noted that the Committee had suggested an event to 
recognize distinguished faculty be held inviting Trustees. It was moved, seconded and 

VOTED : To concur with the President in the appointment of Robert E. Mcintosh as Distinguished 
Professor at UMASS Amherst. 



Board of Trustees 
August 7, 1996 



Chair Taylor turned to Trustee O'Leary for the report of the Committee on Administration and 
Finance . Trustee O'Leary reported that the Endowment Funds that were approved under the Consent 
Agenda had been discussed as well as an Overview of the FY1997 Budget, the FY1997 State Budget 
Allocations and an Administrative Redesign Update. Vice President Lenhardt and Ms. Uber, Budget 
Director then presented an overview of the FY1997 budget which is a blueprint planning document of the 
final budget. Some of the highlights included the impact of $40 million dollars in wage increases and the 
significant investments in physical plant and information technology. 

The next item on the agenda was the report of the Audit Committee . Trustee Giblin reported that the 
Committee had met on July 10 and five audits had been reviewed and approved. Trustee Giblin then 
commended the team of Auditors for the detailed work and quality of writing that goes into the Audits. 

The next item on the agenda was the report of the Development Committee . Trustee Hoff first 
welcomed Trustee Croft to the Committee and reported that at the meeting held earlier today there had 
been discussions about a major fundraising event during the next year. Also discussed was the hiring of 
a Development Officer at UMASS Lowell and the progress in the search for an Executive Director for the 
UMASS Foundation. 

Reporting as Chair of the Athletic Committee. Trustee Bogan referred to Chancellor Scott's report 
listing the representatives from UMASS Amherst at the 1996 Olympics including Pam Hixon as Field 
hockey coach for the US national team. 

The next item on the agenda under Other Business was the Department of Defense Exclusion List 
It was moved, seconded and 

VOTED : WHEREAS, current Department of Defense Regulations contain a provision making it 
mandatory that the Chairman of the Board, the President, the Secretary and the 
designated Facility Security Officer meet the personnel clearance requirements 
established for a contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the exclusion from the 
personnel clearance requirements of certain members of the Board of Trustees and other 
officers, provided that this action is recorded in the minutes. 

NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board, the President, 
the Secretary and the designated Facility Security Officer at the present time do possess 
or will be processed for the required security clearance; and 

BE IT RESOLVED that in the future, when any individual enters upon any duties as 
Chairman of the Board, the President, Secretary or other person designated as Facility 
Security Officer, such individual shall immediately make application for the required 
security clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board of Trustees and 
other officers shall not have, and can be effectively excluded from access to all classified 
information in the possession of the University and do not occupy positions that would 
enable them to affect adversely policies or practices in the performance of classified 
contracts for the Department of Defense or the User Agencies of its Industrial Security 
Program: 



-4- 



Board of Trustees 
August 7, 1996 



» 



NAME 



TITLE 



Brian Andriolo 
James Arciero 
Daniel E. Bogan 
Sean M. Carter 
David C. Croft 
Grace K. Fey 
Heriberto Flores 
Michael T. Foley, M.D. 
William E. Giblin 
Robert J. Haynes 
Charles J. Hoff 
Robert S. Karam 
Myra H. Kraft 
Peter K. Lewenberg 
Ogretta V. McNeil 
John M. Naughton 
James F. O'Leary 
John William Poduska 
Rina K. Spence 
Timothy W. Sweeney 



Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 



• 




< 



Chair Taylor turned to Trustee Naughton for the report on the Nominating Committee who reported 
that the Committee had several meetings to develop the slate of Officers and Committee Leadership for 
the next year. Trustee Naughton then thanked the members of the Nominating Committee, Trustees 
Flores, Giblin, Spence and Taylor and all the Trustees who shared their thoughts and recommendations. 
He then pointed out the key position Trustee Lewenberg plays chairing the University of Massachusetts 
Building Authority. 

It was moved, seconded and 

VOTED : To confirm and approve the Officers and Committee Chairs of the Board set forth in Doc. 
T96-097, all to serve until the next annual meeting of the Board. 

Trustee Haynes then made the following Resolution: 

Wliereas, Daniel A. Taylor assumed the duties of Chairman of the Board of the 

University of Massachusetts on October 6, 1993 at a critical time in the 
University's history; 

Wliereas, under his guidance the University has promulgated its mission as the 

Commonwealth's public university, and has taken positive and 
important steps toward becoming a top-ranked University; 

Wliereas, Daniel A. Taylor has worked tirelessly for the good of the University and 

by doing so has been a great University ambassador of good will, which 
has reflected well on himself, this Board of Trustees, and the entire 
University Community; 

Wliereas, it has been an honor to have served with him and we hope he will 

continue to provide us with his wise counsel and friendship for many 
years to come; 



-5- 



Board of Trustees 
August 7, 1996 



WJtereas, he will be stepping down as Chairman of the Board of the University of 

Massachusetts; 

Be it resolved, that the Board of Trustees of the University of Massachusetts, in a 
meeting assembled this seventh day of August, 1996 does hereby express 
not only its sincere and lasting gratitude but also the thanks from the 
University community for the contributions and commitment Daniel A. 
Taylor has made to the betterment of this institution, and; 

Be it further, that the Board of Trustees wishes him good health as well 
resolved as further challenges to occupy him for many years to come. 

President Bulger then made a presentation on behalf of the Board and thanked Chair Taylor for his 
commitment to the University and cited the many measures of leadership and commitment to 
maintaining the University's position in Massachusetts during his time on the Board. 

Chair Taylor thanked the Board and congratulated Trustee Karam on his appointment as new Chair 
of the Board. He then spoke of the success the University has had in selecting and retaining quality 
faculty, building a resource base, pressing to deploy resources effectively and always striving for 
excellence. He also spoke of the many friendships he has made at the University and expressed his 
pleasure in working with President Bulger. 

Chair Taylor then asked for a motion to go into Executive Session to discuss Awards of Tenure, 
UMASS Amherst UMASS Boston, UMASS Dartmouth, UMASS Lowell and Appointments with 
Tenure, UMASS Amherst, UMASS Lowell, UMASS Worcester . He indicated that the Board would not 
reconvene in open session. Trustees Andriolo, Arciero, Bogan, Flores, Foley, Giblin, Haynes, Hoff, Karam 
Kraft, Lewenberg, McNeil, Naughton, O'Leary, Spence and Chair Taylor all voted for the motion. The 
time was 10:35 a.m. 




Barbara DeVico 
Staff Assistant 



kiVeyy 



-6- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, October 9, 1996; 9:15 a.m. 

V.LP. Room - Mullins Center 

University of Massachusetts 

Amherst, Massachusetts 

Trustees and Trustee Staff : Chair Karam; Vice Chair Haynes; Trustees Andriolo, Arciero, 
Bissonnette, Bogan, Carter, Croft, Fey, Flores (left early), Foley, Giblin, Hoff, Kraft, 
Lewenberg, McNeil, Naughton, Spence and Sweeney 

Trustees Absent : Trustee O'Leary 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice 
Presidents Botman and Lenhardt; Chancellors Scott, Penney, Cressy, Hogan and Lazare 

Faculty Representatives : Professors May, Carroll, Singh and Phelan 

Chair Karam convened the meeting at 9:35 a.m. The first order of business wa^ 
Consideration of Minutes of the previous meeting of the Board. 

It was moved, seconded and 

VOTED : To approve the minutes of the August 7, 1996 meeting of the Board. 

As part of the Chair's report, Chair Karam spoke of the previous evening's dinner that had 
honored distinguished faculty members on the Amherst campus who exemplified the quality of 
faculty on all of the campuses. The dinner also provided an opportunity to thank Daniel Taylor 
for his service to the University as Trustee and Chair. 

The next item on the agenda was the President's Report . President Bulger also remarked on 
the faculty at last night's dinner and the work Daniel Taylor performed on behalf of the 
University. He then reported on the funding increase of 6% for each campus and the 
communication from Secretary of Finance Charles Baker informing him of the efforts to fund the 
University's five year capital plan. This means the construction projects vital to the campus 
may go forward. 

President Bulger then introduced newly-appointed Vice President for Academic Affairs, 
Selma Botman. He noted that he and Dr. Botman plan to visit high schools across the 
Commonwealth meeting students, teachers and guidance counselors and encourage them tc 
consider the University. Also in the works is a system-wide brochure highlighting each 
campus' strength and financial options. He also announced that the Medical Center has joined 
with Smith and Nephew in Andover, one of the foremost manufactures of medical devices 
jointly developing a Center in Research for Orthoscopic Surgery. 

President Bulger then informed the Board that the Boston Red Sox recently announced a 
contribution of $30,000 to the program at the Amherst campus honoring the 50th anniversary of 
Jackie Robinson breaking the color barrier in major league baseball. He then mentioned next 
week's kick-off of "Capital Campaign" at UMASS Amherst which expects to raise $125 



Board of Trustees 
October 9, 1996 

million dollars over a five year period; the Boston campus's campaign is scheduled to begin next 
week as well with a performance by singer Donna Summer. There will also be a ribbon cutting 
ceremony next week at the Massachusetts Ventures Center. 

Chair Karam introduced newly-elected Trustee Diane Bissonnette. He then asked 
Chancellor Hogan to update the Board on the progress of the Lowell campus's efforts with the 
City on new facilities. 

Chancellor Hogan thanked the President and the Board and in particular Trustees 
Lewenberg and O'Leary for making the Lowell strategy a reality. Chancellor Hogan then 
reported that in less than one year the new arena will open and house the University's ice 
hockey team and a semi-pro hockey league as well. Less than a year after that the 
baseball /football stadium will open which will be home to our baseball team and will be home 
to a Single A Boston Red Sox affiliate. The year after that, the summer of 1999 the new center 
for recreational and socializing activities will open. 

Chancellor Scott then presented the Amherst Campus Strategic Action Plan for the next 
five years and thanked the President and the Board for their support. The highlights 
included: 

•The Amherst campus plan is to assume a place as a major national research university 
through membership in the Association of American Universities (AAU). 

•As the flagship, public land grant-research University of the Commonwealth the 
campus at UMASS Amherst is dedicated to creating a Commonwealth of Learning. 

•The plan assumes the UMASS budget growth will at least mirror state growth 
providing $17.7 million (FY97-01) and $21.3 million for salaries. While the state 
cannot provide everything the Campaign will generate $125 M over the next five years, 
and the expectation to achieve $6 million recurring annually by 2001 to be used in 
meeting Strategic Action goals. We hope to hold curriculum fees constant; total revenue 
increase is expected to be $48.6 million dollars. 

•1) Teaching, Learning and Curricular Reform, 2) Advising and Retention, 3) Diversity, 
including to continue building diverse Faculty, Staff and Students, 4) Faculty and Staff 
Roles and Rewards, 5) Scholarships and Financial Aid, 6) New Community, including 
new agenda of Women and Faculty and Staff Development, 7) The Land Grant, - AAU 
Model including investments in faculty, Library and Information Technology are some of 
the areas that will be funded through this initiative. 

•The importance of restructuring and reviewing the curriculum, beginning with the area 
of Life Sciences and BioTechnology. 

•The need to reflect the diversity of high school students graduating and to strengthen 
outreach programs to K-12. 

•The need for more attention to the infrastructure needs of the campus. 

•The Restructuring Plan which includes Administrative Redesign and Retirement 
Incentive program. 

Chair Karam thanked Chancellor Scott and introduced the Consent Agenda . It was moved, 
seconded and 



•2- 



» 



Board of Trustees 
October 9, 1996 

VOTED : To approve the following votes listed as Items a-c, on the Board Consent 
Agenda: 

a. Committee on Academic and Student Affairs (Item 1 was approved by the 
Committee on October 7, 1996) 

1. Amendments to the Policy on Centers and Institutes (Doc. T96-096. as 
amended) 

To approve the amendments to the University of Massachusetts Policy on 
Centers and Institutes as contained in Doc. T96-096, as amended. 

b. Committee on Administration and Finance (Items 1-6 were approved by the 
Committee on October 3. 1996) 

1. Revisions to the University Investment Policy (Doc. T92-031, Appendix F, 
as amended) 

To approve the amendments to the Revised Investment Policy (formerly the 
Cash Management Policy), as contained in Doc. T92-031, (Appendix F, as 
amended). 

2. Lease for the Chelsea Recycling Center. UMASS Lowell (Doc. T96-104) 

To authorize the Chancellor of the Lowell campus, with the approval of 
the Division of Capital Planning and Operations, to lease for up to five 
years space not to exceed 1,500 net square feet of office space in the city of 
Chelsea for the use of the Chelsea Recycling Center. 

3. Lease for Submillimeter Testing Laboratory, UMASS Lowell (Doc. T96-105) 

To authorize the Chancellor of the Lowell campus, with the approval of 
the Division of Capital Planning and Operations, to lease for five years 
approximately 15,562 square feet of office space and sixty parking spaces at 
175 Cabot Street in Lowell for the use of the Submillimeter Testing 
Laboratory. 

4. Revisions to Self Insurance Trust Document (Doc. T90-056, as amended) 

To approve the following amendments to the Self Insurance Program (Doc. 
T93-126) and to authorize the Secretary of the Board to execute an amended 
document with these changes: 

Add a new clause (f) to Section II. Exclusions, of Part 1 Professional 
Liability which states as follows: 

(f) As respects the furnishing of Professional Services in the operation of a 
managed care organization as stated in the definition of Professional 
Services: 

(i) To the willful violation of a statute, ordinance or regulation committed 
by or with the knowledge or consent of an Insured; 



-3- 



Board of Trustees 
October 9, 1996 



(ii) To any criminal, dishonest, malicious acts, errors or omissions, or those 
of a knowingly wrongful nature committed by or at the direction of an 
Insured; 

(iii) To any payment obligations assumed by the Insured as a carrier, 
insurer, reinsurer, or third party payor; 

(iv) To the violation or alleged violation of the Securities Act of 1933, as 
amended, or the Securities Exchange Act of 1934, as amended, or any state 
Blue Sky or securities law or similar state or federal statute and any 
regulation or order issued pursuant to any of the foregoing statutes, or any 
actual or alleged violation of the Racketeer Influenced and Corrupt 
Organizations Act, 18 USC Section 1961 et seq, and any amendments, or any 
rules or regulations promulgated; 

(v) To any action or proceeding brought by or on behalf of any federal, state 
or local government regulatory agency or administrative agency, whether 
such action or proceeding is brought in the name of such agency, or by or on 
behalf of such agency in the name of any other individual or entity. 

(vi) To liability arising from any responsibilities, obligations or duties 
imposed upon fiduciaries by the Employee Retirement Income Security Act 
of 1974 or similar provisions by any federal, state, or local statute or 
common law, or any amendments thereto, or any rules or regulations 
promulgated thereunder. 

Strike the current clause (e) and replace it with the following new clause 
(e):- 

(e) Any person not covered under paragraphs (a) through (d) above who at 
the express direction or request of the Named Indemnitee, renders the 
following Professional Services: 

Service as a member of or as a participant in a formal medical 
accreditation, quality assurance, peer review or similar medical 
professional board or committee of the Named Indemnitee, or as a person 
charged with the duty of executing directives from: 

1. any such board, committee or society, or 

2. any hospital management board or any successor body or its committees 
and any committee of the Named Indemnitee whether advisory or 
managing; or 

Peer review, utilization review, healthcare cost review, or any other 
similar activity connected with the ownership, management of or in 
connection with providing Professional Services in the operation of a 
managed care organization as stated in the definition of Professional 
Services. 



-4- 



Board of Trustees 
October 9, 1996 



Add a new clause (3) as follows:- 

(3) Any professional services in the operation of a managed care 
organization, including, but not limited to: 

(a) utilization review activities, being the process of evaluating the 
appropriateness or necessity of proposed or already performed professional 
services of a medical nature, or the reasonableness of the proposed or 
already incurred costs of such services, for the purpose of determining 
whether such services or costs will be approved by the Insured, regardless 
of whether such evaluation is done prospectively, concurrently or 
retrospectively; and, 

(b) any of the following services or activities performed or provided by any 
Insured for or on behalf of a Named Insured: quality assessment or cost 
review in respect of professional services of a medical nature; designing 
managed health care plans, appointment and reappointment, 
credentialling, and delineation of clinical privileges for managed health 
care plans; performing underwriting and risk selection functions for 
managed health care plans; quoting or classifying risks for managed health 
care plans; selling insurance under a managed health care plan; processing 
applications for managed health care plans; enrollment processing for 
managed health care plans; billing and collecting premiums for managed 
health care plans; issuing policies or certificates of insurance for managed 
health care plans; determining eligibility for coverage under managed 
health care plans; adjusting, investigating or handling claims for benefits 
or coverages under managed health care plans; marketing managed health 
care plans; selecting or contracting with health care providers; reimbursing 
or paying health care providers: actuarial services for managed health 
care plans; data processing services for managed health care plans; 
recovery subrogation services in respect of managed health care plans; risk 
management and loss control operations solely with respect to managed 
health care plans: and other services or activities customarily and 
ordinarily performed with respect to the management, administration or 
operation of managed health care plans. 

5. University of Massachusetts Building Authority Financing (Doc. T96-109) 

WHEREAS, the University of Massachusetts (the "University") intends (i) 
that the projects described in Attachment I to this Vote (the "Projects") be 
undertaken, (ii) that all or a portion of the costs of the Projects be financed 
through the issuance of tax-exempt bonds by the University of 
Massachusetts Building Authority (the "Authority Bonds") and The 
Commonwealth of Massachusetts (the "Commonwealth Bonds") and (iii) 
that there shall be reimbursed from proceeds of the Authority Bonds and 
the Commonwealth Bonds (collectively, the "Bonds") certain expenditures 
for the Projects made prior to the issuance of the Bonds; 

NOW, THEREFORE, BE IT RESOLVED that the University declare and it 
hereby declares its official intent under Section 1.150-2(d)(l) and (e) of the 
Treasury Regulations as follows: 



-5- 



Board of Trustees 
October 9, 1996 



The University reasonably expects that there shall be reimbursed from the 
proceeds of Authority Bonds and Commonwealth Bonds, expenditures 
(including expenditures made within the last 60 days) temporarily 
advanced for the Projects by the University, the maximum principal 
amount of Authority Bonds expected to be issued, all or a portion of the 
proceeds of which are reasonably expected to be used for such 
reimbursement purposes, being $120,000,000, and the maximum principal 
amount of Commonwealth Bonds, all or a portion of the proceeds of which 
are reasonably expected to be used for such reimbursement purposes, being 
$120,000,000. 

6. Authorization for University of Massachusetts Building Authority to 
Transfer Land to Lowell Arena Commission for Baseball Stadium (Doc. T96- 
1101 

BE IT RESOLVED: 



WHEREAS, pursuant to St. 1991, c. 142, S33, the rights, powers, duties, and 
properties of the board of trustees of the University of Lowell shall be 
exercised, performed and held by the board of trustees of the University of 
Massachusetts ("the Board"); and 

WHEREAS, pursuant to St. 1995, c. 267, S22, all real and personal property 
and all duly existing contracts, leases and obligations of the University of 
Lowell Building Authority were transferred to the University of 
Massachusetts Building Authority ("the Authority"); and 

WHEREAS, Section 10.2 of the Restated Contract for State Financial 
Assistance and Services dated as of September 1, 1976 between the 
Commonwealth of Massachusetts, acting by and through the Board of 
Trustees of the University of Lowell, and the University of Lowell Building 
Authority, as supplemented ("the Contract"), provides that the Authority 
shall not, without the written approval of the Board, assign, mortgage, 
pledge, or otherwise encumber any project, or any part thereof, or any 
properties used in connection therewith; and 

WHEREAS, the Authority is the owner of land located at 450 Aiken Street 
in Lowell, Massachusetts, as evidenced by Certificate of Title No. 13373, 
and shown as Lots 1 and 2 on subdivision plan 26607 B, filed with 
Certificate of Title No. 10248, and bounded and described as follows: 

Southeasterly by the northwesterly line of Aiken Street, two hundred 
twenty-nine and 98/100 (229.98) feet; 

Southeasterly by the northwesterly line forming the junction of said Aiken 
Street and Pawtucket Street, one hundred five and 94/100 (105.94) feet; 

Southerly by the northerly line of said Pawtucket Street, three hundred 
forty-one and 2/100 (341.02) feet; 

Westerly by land now or formerly of Jacob Svvartz et al, three hundred 
fifty-seven and 90/100 (357.90) feet; 



f 



-6- 



Board of Trustees 
October 9, 1996 



Northwesterly by said Swartz et al land and by land now or formerly of the 
Proprietors of the Locks and Canals on Merrimack River, three hundred 
fifty-five and 24/100 (355.24) feet; and 

Northeasterly by said land of the Proprietors of the Locks and Canals on 
Merrimack River, five hundred twelve and 37/100 (512.37) feet; and 

WHEREAS, the acquisition of the land and the buildings thereon 
(collectively, "the Property") and the improvement of the Property were 
part of a project financed by Lowell Technological Institute Building 
Authority Facilities Bonds, First Series; and 

WHEREAS, by lease dated as of November 1, 1968, and amended October 
29, 1971, the Authority leased the Property to the Lowell Technological 
Institute Research Foundation, now the University of Massachusetts- 
Lowell Research Foundation ("the Research Foundation"); and 

WHEREAS, the Lowell Arena Commission, a commission established by 
the City of Lowell pursuant to St. 1994, c.325, wishes to acquire the 
Property; and 

WHEREAS, the Authority and the Research Foundation wish to terminate 
the lease of the Property; and 

WHEREAS, the Board acknowledges that the termination of the lease of 
the Property and the rent payable to the Authority as lessor of the 
Property will not substantially affect the Authority's Net Revenues (as 
defined in the Contract): and 

WHEREAS, the Authority desires to convey the Property to the Lowell 
Arena Commission for nominal consideration; 

NOW THEREFORE, the Board 

1. Approves the termination of the lease of the Property between the 
Authority and the Research Foundation, and 

2. Approves the conveyance of the Property by the Authority to the Lowell 
Arena Commission. 

c. Audit Reports (Items 1 &2 were approved by the Audit Committee on 
September 10. 1996) 

1. Audit Firm Selections (Doc. T96-098) 

•Combined Student Health Trust Funds Supplemental Health Benefits 
Plan, UMASS Amherst 
•WUMB-FM Radio, UMASS Boston 

To concur with the recommendation of the University Senior Director for 
Auditing to select the firm of KPMG Peat Marwick LLP to perform the 
audits of Combined Student Health Trust Funds and Supplemental Health 
Benefits Plan, UMASS Amherst 



and further, 



Board of Trustees 
October 9, 1996 



To concur -with the recommendation of the University Senior Director for 
Auditing to select the firm of Wolfe & Company, P.C. to perform the audits 
for WUMB-FM Radio, UMASS Boston. 

2. Three Year Audit Plan. FY1997-FY1999 

To approve the FY97-99 Audit Operations Plan as contained in Doc. T96- 
099. 

The next item on the agenda was the report of the Committee on Academic and Student 
Affairs. Trustee McNeil reported that the Committee had met on October 7 with all members 
present. She then welcomed Vice President Botman to her role as Vice President for Academic 
Affairs. 

Trustee McNeil then called on Trustee Carter who informed the Board that Branch Rickey 
3rd, grandson of Branch Rickey who signed Jackie Robinson will be speaking today at Herter 
Hall. All are invited. 

Trustee McNeil applauded President Bulger and Vice President Botman for their plans to 
visit high schools informing students of the advantages of attending the University. 

Trustee McNeil then reported that the Committee had a lengthy discussion surrounding 
Authorization to Amend Student Disciplinary Codes . The Committee had heard from former 
Trustee John Okray and Trustee Croft about their concerns on the motion being recommended by 
the President based on recommendations from the Chancellors and asked that the Committee 
consider an amended version. After discussion, the Committee unanimously adopted the motion 
before you. The motion tabled by the Board in June is listed under Other Business on the agenda 
but because this new motion supersedes the tabled motion, Trustee McNeil asked that the 
tabled motion remain on the table. 

Trustee Croft reported that while he still feels there is more work needed, particularly in 
clarifying the language of the current Codes of Student Conduct, he withdraws the motion from 
last May and requests that the current motion be considered forthwith. 

It was moved, seconded and 

VOTED : To authorize the President to approve amendments to the student disciplinary 
codes for each campus to reflect the recommendations contained in the Report of 
the Ad Hoc Chancellors' Advisory Group on Codes of Student Conduct, 
including: 

1. Every undergraduate or graduate student subject to disciplinary procedures for 
violations of conduct regulations shall be allowed to be accompanied by an 
advisor during a hearing or an appeal. The nature and extent of the advisor's 
participation shall be determined by campus procedures. The advisor must be 
selected from the campus community, and may include another student or a full- 
time employee of the campus. Attorneys shall be prohibited from serving as 
advisors or otherwise accompanying the student, with the exceptions noted 
below. 

2. Any undergraduate or graduate student subject to disciplinary proceedings who 
faces pending criminal charges arising from the same facts shall be permitted 
to select as his advisor an attorney, without regard to whether the attorney is 



e 



Board of Trustees 
October 9, 1996 

a member of the campus community. This right to have an attorney present (at 
the student's expense) will also apply when in the judgment of the hearing 
officer or panel it appears likely that such charges will be filed. Any student 
who elects to be accompanied by an attorney should be required to give advance 
notice to the hearing entity. 

3. Any undergraduate or graduate student who has been found guilty at a 
disciplinary hearing and who has been given a penalty of expulsion or 
suspension from the University for more than ten days should have the right, 
at the student's expense, to submit a written statement drafted by an attorney 
that will be considered by the final appellate entity before a final decision is 
issued. 

4. If students are represented by counsel under f 2 or 1 3, counsel may not be an 
employee of the student legal services offices supported by University funds. 

The next item was the Establishment of the Robert C. Wood Visiting Professorship, 
UMASS Boston . It was noted that Robert Wood had served as President and currently works at 
the University of Massachusetts at Boston. Chair Karam thanked Dr. Wood and his wife for 
their generosity. It was moved, seconded and 

VOTED : To establish the Robert C. Wood Visiting Professorship of Public and Urban 
Policy at the University of Massachusetts Boston. 

Trustee McNeil reported that Appointments with Tenure, UMASS Dartmouth, UMASS 
Lowell would be discussed in Executive Session later in the meeting. 

The final item on the agenda had been an Update on Enrollment Planning . The Chancellors 
then gave brief updates on their campus's enrollment figures. 

Trustee Spence reported for the Committee on Administration and Finance and noted that 
several items had been voted on under the Consent Agenda. She then asked Vice President 
Lenhardt to update the Board on the first item, FY1997 State Appropriation Allocation . It was 
moved, seconded and 

VOTED : To approve the following FY 1997 state appropriation allocations: 

Amherst $180,172,483 

Boston $66, 015,014 

Dartmouth $36,703,467 

Lowell $56,926,553 

Worcester $28,908,139 

Donahue Institute for $758,403 
Governmental Services* 

University Health & Welfare Fund** $2,621,570 

President's Reserve $207,490 

TOTAL $372,313,119 

includes UMASS Economic Project. 
**Reserve for state employee dental insurance. 



-9- 



Board of Trustees 
October 9, 1996 

Further, to authorize the President to make adjustments to the campus allocations 
for support of the President's Office and Central Administrative Services, to be 
reflected in the final allocation schedule submitted to the state. 

The next item was FY1997 University Operating Budg et. Trustee Spence noted that 3-7% of 
the budget has been dedicated to infrastructure. It was moved, seconded and 

VOTED : To approve the FY 1997 Operating Budget for the Amherst, Boston, Dartmouth, 
Lowell, and Worcester campuses, the System Administration, and the Maurice 
Donahue Institute for Governmental Services, as contained in Doc. T96-081. 

The next item was FY1998 State Budget Request Guidelines . It was moved, seconded and 

VOTED : To approve the Budget Request Guidelines (Doc. T96-102), which will be 
utilized in developing a request to the state for support in the next fiscal year. 

And further, 

To authorize the President to prepare and submit the FY 1998 State 
Appropriation request using approved Budget Request Guidelines. 

The next item was FY1996 Treasurer's Investment Report . It was moved, seconded and 

VOTED : To accept the FY 1996 Treasurer's Investment Report as contained in Doc. T96- 
103. 

Trustee Haynes commended the President for the success with the budget and the capital 
plan. 

Trustee Giblin gave the report of the Audit Committee . The Audit reports had been 
approved under the Consent Agenda and it was reported that the reports had been of high 
quality. 

Trustee Hoff gave a report of the Development Committee which is in the process of 
recommending changes to the Foundation organization. The Committee members had a 
discussion with Peter Nesson who has raised money for different organizations, including 
Harvard Medical School. He further reported that there would be a million dollar 
scholarship award at a University- wide gala that will be finalized for the spring. 

The next item on the agenda under Other Business was Amendments to the By-Law s. Chair 
Karam explained that these amendments were designed to terminate the existence of the 
External Affairs Committee. It was moved, seconded and 

VOTED : To approve the following amendments to the By-Laws of the Board of Trustees 
of the University of Massachusetts: 

Article III, Committees of the Board, is hereby amended as follows: 

Section 1 

By replacing the word "seven" with the word "six." 

By striking the words "the External Affairs Committee." 



■10- 



fe 






Board of Trustees 
October 9, 1996 



And further, 

By striking Section (f). 

By replacing the section designation "(g)" with the section designation "(f)". 

The next item was the Department of Defense Exclusion List . It was moved, seconded and 

VOTED : WHEREAS, current Department of Defense Regulations contain a provision 
making it mandatory that the Chairman of the Board, the President, the 
Secretary and the designated Facility Security Officer meet the personnel 
clearance requirements established for a contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the exclusion from 
the personnel clearance requirements of certain members of the Board of 
Trustees and other officers, provided that this action is recorded in the minutes. 

NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board, the 
President, the Secretary and the designated Facility Security Officer at the 
present time do possess or will be processed for the required security clearance; 
and 

BE IT RESOLVED that in the future, when any individual enters upon any 
duties as Chairman of the Board, the President, Secretary or other person 
designated as Facility Security Officer, such individual shall immediately 
make application for the required security clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board of 
Trustees and other officers shall not have, and can be effectively excluded from 
access to all classified information in the possession of the University and do 
not occupy positions that would enable them to affect adversely policies or 
practices in the performance of classified contracts for the Department of 
Defense or the User Agencies of its Industrial Security Program: 

NAME TITLE 

Brian Andriolo Trustee 

James Arciero Trustee 

Diane E. Bissonnette Trustee 

Daniel E. Bogan Trustee 

Sean M. Carter Trustee 

David C. Croft Trustee 

Grace K. Fey Trustee 

Heriberto Flores Trustee 

Michael T. Foley, M.D. Trustee 

William E. Giblin Trustee 

Robert J. Haynes Trustee 

Charles J. Hoff Trustee 

Myra H. Kraft Trustee 

Peter K. Lewenberg Trustee 

Ogretta V. McNeil Trustee 

John M. Naughton Trustee 

James F. O'Leary Trustee 



-11- 



--1 



Board of Trustees 
October 9, 1996 

John William Poduska Trustee 

Rina K. Spence Trustee 

Timothy W. Sweeney Trustee I 

Daniel A. Taylor Trustee 

Chair Karam then asked for a motion to go into Executive Session to discuss Appointments 
with Tenure, UMASS Dartmouth, UMASS Lowell and Honorary Degrees . He indicated that 
the Board would not reconvene in open session. Trustees Andriolo, Arciero, Bissonnette, Bogan, 
Fey, Foley, Giblin, Haynes, Hoff, Karam, Kraft, Lewenberg, McNeil, Naughton, Poduska and 
Spence voted for the motion. The time was 11:15 a.m. 



/J^fe^GeO^ 



Barbara DeVico 
Staff Assistant 



■12- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Tuesday, December 3, 1996; 7:00 p.m. 

University Room 

Beechwood Inn 

363 Plantation Street 

Worcester, Massachusetts 

Trustees and Trustee Staff : Chair Karam; Trustees Andriolo, Bissonnette, Carter, Croft, Fey, 
Flores, Foley, Giblin, Haynes, Hoff, Lewenberg, McNeil, Mihos, Naughton, Spence and 
Sweeney 

Trustees Absent : Trustees Arciero, Bogan, Kraft, O'Leary and Poduska 

University Administration : President Bulger; Vice President and General Counsel Kirby; 
Chancellors Hogan, Lazare, Penney and Scott; Vice Presidents Botman, Chmura, Julian and 
Lenhardt 

Guests: Neil Blacklow, Hank Duffey, Cornelius Ferris, Michael Greene, Barbara Greenberg, 
Derrick Hollings, William Kelleher, Lynn Manfred, Thomas Manning, Arthur Pappas, Arthur 
Russo, Richard Stanton, Gerald Steinberg 

Chair Karam asked for a motion to go into Executive Session to discuss a matter relating to 
the exchange or lease of real property. He indicated that the Board would not reconvene in 
open session. The time was 8:35 p.m. 

It was moved, seconded and 

VOTED : To enter Executive Session. 

There being no further business to come before the Board the meeting was adjourned at 9:45 



p.m. 



iCWW- U 0?"tf<w 



Barbara F. DeVico 
Staff Assistant 



0r 



m 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, December 4, 1996; 9:15 a.m. 

Faculty Conference Room 

University of Massachusetts 

Worcester, Massachusetts 

Trustees and Trustee Staff : Chair Karam; Trustees Andriolo, Arciero, Bissonnette, Carter, Croft, Fey, 
Flores, Foley, Giblin, Haynes, Hoff, Lewenberg, McNeil, Mihos, Naughton, O'Leary, Poduska, Spence and 
Sweeney 

Trustees Absent : Trustees Bogan and Kraft 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice President 
Lenhardt; Vice President Botman; Chancellors Cressy, Hogan, Lazare, Penney and Scott; Deputy 
Chancellor Russo 

Faculty Representatives : Professors Cooke, Knight, May Phelan and Singh 

Chair Karam convened the meeting at 9:15 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the October 9, 1996 meeting of the Board. 

Chair Karam then introduced the newest member of the Board, Mr. Christy Mihos. 

The next item on the agenda was the President's Report . The President reported that his visits to 
high schools around the Commonwealth have been met with enthusiasm with both students and the 
school administrators. He also discussed his intention to lower tuition by 5% also proposed by Chair 
James Carlin of the Board of Higher Education. 

President Bulger then reported that the plans for administrative redesign are moving forward as well 
as the development plans for the UMASS Foundation structure. He thanked the Chancellors and the 
Development Officers for their work with Foundation matters. 

Chair Karam then introduced the Consent Agenda . It was moved, seconded and 

VOTED : To approve the following votes listed as items #a-d, on the Board Consent Agenda: 

a. Clinical Management Board Minutes. July 11. 1996 (Doc. T96-114) 

1. Clinical Management Board Minutes. May 23. 1996 

To approve the minutes of the May 23, 1996 Clinical Management Board meeting 
with one correction as noted. 



J 



Board of Trustees 
December 4, 1996 



2. Renovatio ns to the Em ergency Department 

To permit renovations to the Emergency Department, as outlined by the TRO 
Project Study, Option C with a total project cost not to exceed $15,010,000. 

3. FY1997 Budg et 

To approve and accept the Fiscal Year 1997 Budget as presented by the Finance 
Committee. 

4. Delegation to the Clin ical Management Board Executive Committee 

It was approved to delegate to the CMB Executive Committee authority to 
specifically review and approve 1) the report of the CMB Information Sub 
Committee proposal to buy or lease computer equipment and 2) the Operating 
Room project. 

5. Cord Blood Program 

To approve an expenditure of $450,000 over the next 30 months to develop the 
Cord Blood Program. 

6. Medical Staff By-Law Chang es 

To approve the Medical Staff by-law changes as recommended by the By Lav/ 
Committee. 

7. Credentialling Report 

It was approved with one abstention to accept the Credentialling report as 
recommended by the Hospital Executive Committee and Health Professional 
Staff Credentials Committee at their May and June 1996 meetings. 

8. Plan for Patient Care Services 

To approve the Plan for Patient Care Services as presented, 
b. Clinical Management Board Minutes, September 26, 1996 (Doc. T96-114) 

1. Clinical Management Board Minutes, July 11, 1996 

To approve the minutes of the July 11, 1996 Clinical Management Board meeting 
as recorded. 

2. Liver and Cardiac Transplantation Programs 

To support William Meyers, M.D. proposed application for Liver and Cardiac 
Transplantation Programs at UMMC. 

3. Report of the Finance Committee 

To approve the Report of the Finance Committee. 



Board of Trustees 
December 4, 1996 



4. Unaudited Financial Statement s forTuly and Aug ust 

To approve the Unaudited Financial Statements for July and August. 

5. Credentialling Report 

To approve the Report of the Credentialling Committee. 
c. Committee on Administration and Finance - Novemb er 21. 1996 

1. University Purchasing Policy/Consultan t Services Policy (Doc. T92-031. 
Appendix A. as revised. Append ix D, as revised) 

To approve the amendments to the Purchasing Policy, as contained in Doc. T92- 
031 (Appendix A, as revised) and to the Consultant Services Policy, as contained 
in Doc. T92-031 (Appendix D, as revised). 

2. University Tuition Waiver Policy (Doc. T96-129) 

To approve the Tuition Waiver Policy subject to any discussion required by law 
for employees covered by collective bargaining. This policy shall supersede and 
rescind all other policies in the University which are inconsistent herewith 
including (but not limited to) Doc. T83-098; provided however, that the Board of 
Trustees expresses its intention to support requests for new categorical waivers 
including waivers for students with special talents. 

3. Endowed Professorships, UMASS Amherst (Doc. T96-116) 

To approve the establishment of the following endowments: 

•Establishment of the Joseph P. Ravin Professor of Entrepreneurship 

•Establishment of the Leonard J. Horowitz Professorship in Latin American 
Politics and Studies 

4. Electron Microscopy Laboratory, UMASS Amherst (Doc. T96-122) 

To name the Polymer Morphology Lab at the Amherst campus the W.M. Keck 
Electron Microscopy Laboratory. 

5. Mullins Center Capital Projects. UMASS Amherst (Doc. T96-134) 

WHEREAS The University of Massachusetts Building Authority (The " 
Authority") is authorized by Chapter 773 of the Acts of 1960, as amended, among 
other things, to provide dormitories, dining commons and other buildings and 
structures for the use of the University of Massachusetts (the "University"), its 
students, staff and their dependents and certain organizations related to the 
University, to alter, enlarge reconstruct, remodel and do other work in or upon 
or respecting any building or structure, to provide and install furnishings, 
furniture, machinery, equipment and facilities in or for or related to any such 
building or structure and to initiate projects for such purposes upon written 
request made by authority of the Board of Trustees (the "Trustees") of the 



-3- 



Board of Trustees 
December 4, 1996 



University and upon written approval from the Commissioner of 
Administration; and 

WHEREAS the Authority has previously issued its $23,855,278.85 Project 
Revenue Bonds, Series 1988-A (the "Bonds") for the purpose, among others, of 
financing a portion of the costs of constructing the William D. Mullins Memorial 
Center (the "Mullins Center") at the Amherst campus of the University; and 

WHEREAS approximately $2,000,000 of the proceeds of the Bonds are 
available to be applied to the purposes for which the Bonds were issued, which 
include further work on the Mullins Center; and 

WHEREAS in the judgment of the Trustees it is in the best interests of the 
University, its students, staff and their dependents and said organizations that 
the Authority initiate the projects described below; 

NOW THEREFORE BE IT RESOLVED THAT 

The President of the University be and he hereby is authorized in the name and 
on behalf of the Trustees to make a written request of the Authority that the 
Authority initiate the following five projects with respect to the Mullins Center as 
more fully described in the attached letter from Chancellor David Scott dated 
November 6, 1996: 

Installation of Heat Trace Roof Downspouts 
Installation of Ladders and Walk Pads for Ice Rink Roof 
Installation of Fall Protection Rigging Equipment 
Upgrade of Electrical Centrifugal Chiller 
Enhancement of Dehumidifi cation System for Ice Rink 

The President of the University and all other officers of the University be and 
they are and each acting singly is authorized and directed to request the 
Commissioner of Administration to approve in writing the undertaking by the 
Authority of the projects a request for which is hereby authorized and to do such 
other things and to take such other action as to the officer or officers so acting 
shall, as conclusively evidenced by their taking the action hereby authorized, 
deem necessary or desirable to be done or taken to carry into effect the matters 
hereby authorized. 

6. Naming of Residence Dining Hall. UMASS Dartmouth (Doc. T96-139) 

To name the Residence Dining Hall on the Dartmouth campus in honor of former 
Governor Endicott Peabody. 

d. Audit Committee - November 21, 1996 

'Audit Reports 

1. Fiscal Year 1996 University Financial Report (Doc. T96-118) 

2. Clinical Services Division, Audited Combined Financial Statements and Other Financial 
Information, UMASS Worcester (Doc. T96-131) 



Board of Trustees 
December 4, 1996 

3. WUMB-FM Audited Financial Statements and Management Letter, FY96, 
UMASS Boston (Doc. T96-132) 

4. WFCR & Friends of WFCR Audited Financial Statements and Management 
Letter, FY96, UMASS Amherst (Doc. T96-133) 

5. Clinical Systems Upgrade, Meditech 4.3 to 4.5, UMASS Worcester (Doc. T96-128) 

6. President's Office Expenditures, FY95 & First Half FY96 (Doc. T96-127) 

7. Pharmacy & Clinical Pharmacy Follow-Up Report, UMASS Worcester (Doc. T96- 
083) 

Chair Karam then reported on yesterday's meeting of the Committee of the Whole. Each campus had 
given a report on the status of their Administrative Redesign /Academic Restructuring plans. He then 
asked Vice President Kirby and Deputy Chancellor Russo to give the Annual Report of the Worcester 
City Campus Corporation d/b/a UMASS Health System . Vice President Kirby explained that the Board 
as sole member of the Corporation needed to hold its annual meeting and elect directors. Dr. Russo 
presented some background information on the status of the Worcester City Campus Corporation and the 
activities over the past year. It was then moved, seconded and 

VOTED : To elect the following individuals to the Board of the Worcester City Campus 
Corporation d/b/a UMASS Health System; those so designated shall be officers of the 
Corporation and the Board of Directors shall consist of at least six members: 

Arthur R. Russo, M. D. President 

Stephen W. Lenhardt Treasurer 

Derrick Hollings Clerk 

Michael Greene 
Michael Hogan 
Andrew C. Knowles 
Aaron Lazare 
Marilyn Plue 
Richard Stanton 

The next item on the agenda was the report of the Committee on Academic and Student Affairs. 
Trustee McNeil first recognized two events at the Amherst campus, the Conference celebrating the 
inauguration of the Graduate Program of African-American Studies which featured renowned scholars 
from around the country and the Conference hosted by the Center for Renaissance Studies. Professors 
Terry, Bracey and Kinney had been introduced as well as two students, Ms. Tanya Mears and Mr. 
Michael Forbes. Trustee McNeil then informed the Board that information on the Conference and /or the 
Program is available. 

Trustee McNeil then introduced the one action item on the Agenda, A ppointments as Distinguished 
Professor, UMASS Boston . Both Professors have distinguished themselves as first rate researchers and 
teachers. It was then moved, seconded and 

VOTED : To concur with the President in the appointment of Kamaljit Bawa as Distinguished 
Professor of Biology at the University of Massachusetts Boston. 

And further, 



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Board of Trustees 
December 4, 1996 



To concur with the President in the appointment of Lawrence Blum as Distinguished 
Professor of Liberal Arts and Education at the University of Massachusetts Boston. 

Trustee McNeil reported that there had been several informational items which were referred to the 
Committee on Administration and Finance for vote, Naming of the Polymer Morphology Laboratory , 
UMASS A mherst and the Establishment of Named Professorships, UMASS Amherst, and an U pdate 
on Outreach and Distance Learning . 

The final item on the agenda had been a report on Enrollments and Admissions where there had 
been a lengthy discussion. It had been suggested that the issues discussed such as retention strategies 
and a system enrollment plan be an item on an upcoming Committee of the Whole meeting agenda so 
that the entire Board is aware of where the University is headed in terms of enrollment management. 

Chair Karam then turned to Trustee Spence for the report of the Committee on Administration and 
Finance. She reported that there had been a presentation of the FY 1996 Financial Statement which 
focused on financial indicators and how best to achieve the targets. She also reported that several items 
that had been on the agenda were voted on under the Consent Agenda and that Trustee Foley would be 
giving a report on the results of his Ad Hoc Committee on University Health Care later in the meeting. 

The first item for action was Consideration of a Tuition Reduction . It was moved, seconded and 

VOTED : In accordance with Section 1A of Chapter 75 with Section 9 (i) of Chapter 15A of the 
General Laws, to authorize and direct the President to recommend specific student 
charges for Academic Year 1997-98 at or before the April Board meeting, provided, 
however, that such recommendation shall provide for an average overall 5% reduction in 
in-state undergraduate tuition rates across the campuses. 

The next item was Approval o f the Principles of Employee Conduct. It was moved, seconded and 

VOTED : To approve the Principles of Employee Conduct as contained in Doc. T96-136, as 
amended subject to any discussions required by law for employees covered by collective 
bargaining agreements. 

The next two items were Establishment of Biologies Laboratory Trust Fund and Authorization to 
Execute Biologies Contract with Department of Public Health . It was moved, seconded and 

VOTED : To establish, in accordance with the provisions of subsection (g) of section 43 of chapter 
75 of the General Laws, the University of Massachusetts Biologic Laboratories Trust Fund 
at the Worcester campus to support the research, development and production of 
vaccines and other biologic products, including agreements with private parties in 
accordance with subsection (d) of said section 43, and related training in those processes, 
previously performed by the Department of Public Health for the benefit of the citizens 
of the Commonwealth who benefit from its programs supporting childhood 
immunization, orphan products, and the public health. Expenditures from the Fund 
shall pay for the cost of the operations, management and activities of the Laboratory and 
related support provided by the Medical Center and the University. 

The Laboratory shall give an absolute preference to the research, development and 
production of those biologic products which relate to childhood diseases. 

The Trust shall be assessed by the Office of the President for administrative services. The 
rate of that assessment and the rate of any other indirect or overhead charge to be made 



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Board of Trustees 
December 4, 1996 



against the Trust fund shall not exceed 10% unless approved by the Advisory Board 
established by section 43 of the General Laws. 

Further, to authorize spending from such Trust Fund in Fiscal Year 1997 not to exceed the 
revenues received by the Fund in that year. Annual budgets shall be required for each 
fiscal year thereafter. 

And Further, to authorize the Chancellor to waive the application of any University 
policy applicable to the operation of such Trust Fund (except for the Intellectual Property 
Policy and the Policy on Conflicts of Interest Relating to Intellectual Property and 
Commercial Ventures at UMASS Worcester) during Fiscal Year 1997 which he deems 
necessary to ensure a smooth transition of the State Biologies Laboratory from the 
Department of Public Health to the University. No such waiver shall extend beyond 
Fiscal Year 1997 and all University policy shall apply as of July 1, 1997 and thereafter. 



And further, 



VOTED : To authorize the President to take all actions and execute all documents including the 
agreement(s) with the department of Public Health that he deems necessary to 
accomplish the transfer to and establishment of the Biologies Laboratories at the 
University. 

Trustee Foley and Mr. Lapidas, Director of Network Affiliations/Managed Care then gave the 
University Health Care Report which summarized the results of the study which had been appointed to 
focus on the structure of the five campuses' student health service programs. 

Following the presentation Trustee Foley thanked the members of the Ad Hoc Committee for their 
work on this project over the past year. The Chancellors will consider the recommendations in the study 
and report back to the Board in the near future. 

In Trustee Bogan's absence, Trustee Foley then gave the report of the Athletic Committee. The 
Committee had heard from Mr. Marcum at the Amherst campus on the policy of agents on campus and 
ticket procedures. There had also been a lengthy discussion concerning astroturf at the Amherst campus 
particularly concerning Garber Field. A Task Force has been set up to study the issue and will report 
back to the Committee. 

Trustee Foley reported that the Athletic Directors from each campus had updated the Committee on 
athletic-related activities on campus over the past year. 

The next item on the agenda was the report of the Audit Committee. Trustee Giblin reported that the 
Committee had met on November 21 and seven audits had been reviewed and approved. He also 
reported that there had been a discussion about the need to identify and develop options for a Worcester 
corporate compliance program. 

Trustee Hoff then gave a report of the Development Committee. The first item on the agenda was 
A pproval of the Endowment Incentive Program Implementation Procedures . It was moved, seconded 
and 

VOTED: To approve the Endowment Incentive Program Implementation Procedures as contained 
in Doc. T96-135. 

Trustee Hoff also reported on the status of the Fundraising Event tentatively scheduled for a date in 
May, 1997 with approximately 800 participants expected. It was decided that the President will hire an 

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Board of Trustees 
December 4, 1996 



Event Planner to direct the efforts for this event. There was also discussion that this event tie-in with an 
inauguration ceremony for President Bulger. 

There had also been a discussion of revising the UMASS Foundation Structure . It was noted that the 
new structure would strengthen fundraising and the management of funds. The President is to begin 
discussions with the Foundation Board regarding these changes. 

Trustee Carter then asked that the Board take into the account the differences between the Amherst 
and Boston campuses when discussing the Student Health Care issues. 

Chair Karam then asked for a motion to go into Executive Session to discuss an Honorary Deg ree , 
UMASS Amherst He indicated that the Board would not reconvene in open session. 

Chair Karam voted for the motion as did Trustees Andriolo, Arciero, Bissonnette, Fey, Flores, Foley, 
Giblin, Haynes Hoff, McNeil, Mihos, Naughton, O'Leary, Poduska and Spence. The time was 10:45 a.m. 



/2>a/im^~ f ■ Oe / U^r 



Barbara F. DeVico 
Staff Assistant 



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